Jon Robert Hickman (CRD #4644088, Pleasant Hill, California)
was fined $15,000 and suspended by FINRA. Allegedly while registered as a research analyst at a member firm, Hickman posted on Twitter concerning equity securities. He allegedly failed to disclose that he owned shares of the security and did not disclose risk or contingent factors or failed to provide a sound basis for evaluating the facts in regard to a particular security.
The findings stated that Hickman posted the messages without his firm’s knowledge.
The suspension was in effect from November 17, 2014, through December 1, 2014. (FINRA Case #2011030501201)
Jon Robert Hickman has been registered in the security industry for 11 years and is currently registered with the following securities firm(s):
LADENBURG THALMANN & CO. INC. (CRD# 505)
570 LEXINGTON AVE, 11TH FLOOR, NEW YORK, NY 10022 Registered with this firm since 06/2011
Jon Robert Hickman was previously registered with the following securities firm(s):
08/2005 - 06/2011 MDB CAPITAL GROUP LLC (CRD# 42677) - SANTA MONICA, CA
01/2005 - 08/2005 SECURITY RESEARCH ASSOCIATES, INC. (CRD# 8200) - SAN FRANCISCO, CA
04/2003 - 01/2005 HALPERN CAPITAL, INC. (CRD# 119895) - AVENTURA, FL
The information obtained from FINRA’s website "Disciplinary and Other FINRA Actions, December 2014," ends here.
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