Michael John Hester (CRD #3044429, Registered Representative, Tampa, Florida)
was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Hester consented to the described sanction and to the entry of findings that he engaged in a private securities transaction by accepting checks totaling $20,000 from individuals to purchase shares in an entity, without providing written notice to, or receiving approval from, his member firm.
FINRA's findings stated that the individuals never received their shares.
Hester deposited the checks into a bank account he controlled and converted the funds to his own use and benefit.
(FINRA Case #2010023562201)
The above information is from FINRA’s website listed under “Disciplinary and Other FINRA Actions, October, 2012.”
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