THOMAS C. HELBIG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. THOMAS C HELBIG (CRD NO. 1039534), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2006005528601 COMPLAINT The Department of Enforcement alleges: 1. Respondent Thomas C Helbig first became registered with FINRA (f/k/a National Association of Securities Dealers or NASD) in about April 1982. On about February 13, 2006, Helbig became registered with FINRA as a General Securities Representative
05/29/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS C HELBIG (CRD No. 1039534), Respondent. Disciplinary Proceeding No.2006005528601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 29, 2008 Respondent is barred for misuse of customer funds, in violation of NASD Conduct Rules 2330(a) and 2110, and IM-2310-2; and for failure to appear for his on-the-record interview, in violation of Procedural Rule 8210 and Conduct Rule 2110.
Reference 2006005528601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1039534 |
Other names1
Also known as1
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