Proceeding Number 2009017527501
Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson
March 21, 2013
Respondent violated NASD Conduct Rule 2110 by secretly downloading confidential, non-public customer information from the firm he was leaving to his personal flash drive without authorization, and then giving personnel of the firm that he was joining access to the information on his flash drive. For this violation, Respondent is suspended from associating with any FINRA member firm in any capacity for ten business days and ordered to pay a fine of $10,000.
This decision has been appealed.
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