The following summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, January, 2014."
Thomas Paul O’Connor (CRD #5699014, Registered Representative, Boston, Massachusetts)
was fined $10,000 and suspended by FINRA for 12 months. Allegedly O’Connor forged his client's signature on documents relating to buying insurance policies, a fixed life policy and a disability insurance policy. O'Connor did not have his client's consent or knowledge.
FINRA's findings said the client had not agreed to the purchase of the policies and that O’Connor had submitted these policies for processing.
O'Connor's suspension is in effect from December 2, 2013, through December 1, 2014. (FINRA Case #2012034010701)
According to BrokerCheck, Thomas Paul O’Connor was previously registered with the following FINRA firm:
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD# 2881) - BOSTON, MA
06/2010 - 08/2012
This ends the information from FINRA's website.
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