RICHARD A. THAYER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/08/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. RICHARD A. THAYER Registered Representative (CRD No. 4123272) Respondent Disciplinary Proceeding No. 2006005175401 Hearing Officer COMPLAINT The Department of Enforcement alleges: 1. Richard A. Thayer was registered with NatCity Investments, Inc. ("Member"), a member of NASD, as an Investment Company/Variable Contracts Products Representative between April 2003 and May 2006, and as a General Securities Representative between August
06/29/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD A. THAYER (CRD No. 4123272), Respondent. Disciplinary Proceeding No. 2006005175401 Hearing Officer-Andrew H. Perkins DEFAULT DECISION June 29, 2007 Respondent is barred from associating with any member firm for converting customer funds, in violation of Conduct Rule 2110; and for failing to respond to requests for information issued by NASD staff, in violation of Procedural Rule 8210 and Conduct Rule 2110. Appearances
Reference 2006005175401data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4123272

Other names1

Also known as1

RICHARD ADAM THAYER

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