Brian Thomas
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2026: In 2023, while registered with FINRA through an association with Kestra Investment Services, Thomas borrowed $50,000 from a firm customer who was not an immediate family member and without providing prior written notice to or obtaining approval from the firm. As a result, Thomas violated FINRA Rules 3240 and 2010. For these violations, Thomas is suspended for one month and fined $5,000.
Reference 2025085647701data-portal.finra.orgfinra.org
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