THOMAS JOSEPH DOWNS

03/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004043401 TO: Department of Enforcement NASD RE: Thomas Downs, Respondent CRD No. 4297709 Pursuant to Rule 9216 of NASD Code of Procedure, Thomas Downs ("Downs") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based

Reference E9B2004043401data-portal.finra.orgfinra.org

12/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY, OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. THOMAS JOSEPH DOWNS (CRD No. 4297709), RESPONDENT. DISCIPLINARY PROCEEDING No. 2007011819401 The Department of Enforcement alleges: SUMMARY 1. On August 2,2007, Downs entered an unauthorized transaction in the account of customer RS. Downs has also failed to respond to FINRA staff's written requests for information. This conduct violated NASD Conduct Rule 2110, IM-2310-2

01/29/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Thomas Joseph Downs, (CRD No. 4297709), Respondent. Disciplinary Proceeding No. 2007011819401 Hearing Officer SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 29, 2009 INTRODUCTION Disciplinary Proceeding No. 2007011819401 was filed on December 1, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Thomas

Reference 2007011819401data-portal.finra.orgfinra.orgdata-portal.finra.org