Proceeding Number 2008016036901

Hearing Panel Decision in Department of Enforcement v. Thomas J. Charles, Jr.

November 3, 2010

Respondent violated Conduct Rule 2110 by forging customer signatures on documents relating to life insurance policies, and making misrepresentations to his employer firm about the forgeries.  For these violations, Respondent is suspended from associating in any capacity with any FINRA member firm for one year, is fined $35,000, and is assessed costs.

View Decision (PDF 87 KB)