BYRON ALAN THOMAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BYRON ALAN THOMAS, (CRD No. 1048411), Respondent. Disciplinary Proceeding No.2010023076001 Hearing Officer - RLP DEFAULT DECISION October 8, 2012 Respondent is barred from associating with any FINRA member in any capacity for: (i) willfully failing to timely disclose reportable criminal charges on a Form U4, in violation of Article V, Section 2(c) of FINRA's By-Laws and FINRA
Reference 2010023076001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1048411 |
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