THADDEUS NEWEL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Thaddeus Newel (CRD No. 2060528), Respondent. DISCIPLINARY PROCEEDING No. 2010021728601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June 2008, Respondent Thaddeus Newel ("Newel") told one of his customers, a recently-widowed senior investor, that she had too much cash and needed to invest some of her savings. The customer trusted Newel and wrote three checks, totaling $135,000
03/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THADDEUS NEWEL (CRD No. 2998644), Respondent. Disciplinary Proceeding No. 20100217286 Hearing Officer-Andrew H. Perkins DEFAULT DECISION March 18, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for converting funds from a customer, in violation of Conduct Rules 2110 and 2010; and for failing to respond to requests for information, in violation of Procedural
Reference 2010021728601data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2060528

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