Tavic O Francis

05/30/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tavic O. Francis, CRD No. 6676717, Respondent. Disciplinary Proceeding No. 2023078168101 COMPLAINT The Department of Enforcement alleges: SUMMARY On four occasions, Respondent Tavic O. Francis failed to provide documents and information FINRA requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into Francis’s use of a corporate credit card to pay personal expenses.

09/30/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TAVIC O. FRANCIS (CRD No. 6676717), Respondent. Disciplinary Proceeding No. 2023078168101 Hearing Officer–BDC DEFAULT DECISION September 30, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide documents and information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Jessica (Ji Eun) Kim, Esq., Eric M. Goldstein, Esq., and Matthew Minerva, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: No appearance DECISION I. Introduction The Department of Enforcement filed a Complaint against Respondent Tavic O. Francis alleging that he failed to provide documents and information that FINRA requested in connection with an investigation into Francis’s alleged use of his firm’s corporate credit card to pay personal expenses. As a result,

Reference 2023078168101finra.orgdata-portal.finra.orgdata-portal.finra.org