Suspended: Jody Ethan Thompson Suspended by FINRA

Suspended

Jody Ethan Thompson Suspended by FINRA

An AWC was issued in which Thompson was suspended from association with any FINRA member in all capacities for five months. In light of Thompson’s financial status, no monetary sanction has been imposed. Without admitting or denying the findings, Thompson consented to the sanction and to the entry of findings that he recommended several non-public offerings without having a reasonable basis to believe those transactions were suitable.

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Suspended: Matthew Duane Sibley Suspended by FINRA

Suspended

Matthew Duane Sibley Suspended by FINRA

An AWC was issued in which Sibley was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in all capacities for six months. Without admitting or denying the findings, Sibley consented to the sanctions and to the entry of findings that he negligently misrepresented his member firm’s ability to deliver corporate bonds that were not owned by the firm and that it ultimately failed to deliver to the buyer.

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Suspended: Kenton Christopher Crabb suspended by FINRA

Suspended

Kenton Christopher Crabb suspended by FINRA

An AWC was issued in which Crabb was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for six months. Without admitting or denying the findings, Crabb consented to the sanctions and to the entry of findings that he willfully failed to amend or timely amend his Uniform Application for Securities Industry Registration or Transfer forms (Form U4) to disclose federal and state tax liens totaling nearly $1.7 million.

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Suspended: Paul Anthony Falcon Suspended by FINRA

Suspended

Paul Anthony Falcon Suspended by FINRA

An AWC was issued in which Falcon was fined $5,000 and suspended from association with any FINRA member in all capacities for 30 days. Without admitting or denying the findings, Falcon consented to the sanctions and to the entry of findings that he used an unapproved third-party communication application to conduct securities-related business with customers of his member firm.

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Suspended: Terrence Edward Bonk Suspended by FINRA

Suspended

Terrence Edward Bonk Suspended by FINRA

An AWC was issued in which Bonk was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for nine months. Without admitting or denying the findings, Bonk consented to the sanctions and to the entry of findings that he borrowed $8,000 from a customer of his member firm without notifying or obtaining prior written approval from the firm.

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Suspended: Pedro Perez-Riu Suspended by FINRA

Suspended

Pedro Perez-Riu Suspended by FINRA

An AWC was issued in which Perez-Riu was fined $5,000 and suspended from association with any FINRA member in all capacities for 10 business days. Without admitting or denying the findings, Perez-Riu consented to the sanctions and to the entry of findings that he caused traders under his supervision at his member firm to execute non-bona fide fixed income transactions.

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Suspended: Thomas M. Murphy Suspended by FINRA

Suspended

Thomas M. Murphy Suspended by FINRA

An AWC was issued in which Murphy was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for four months. Without admitting or denying the findings, Murphy consented to the sanctions and to the entry of findings that he executed subscription agreements as an authorized signatory for his member firm, without its authorization, to help clients of the firm’s selfdirected brokerage business invest in third-party private real estate funds.

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Suspended: Angela Marie Chatfield Suspended by FINRA

Suspended

Angela Marie Chatfield Suspended by FINRA

An AWC was issued in which Chatfield was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Chatfield consented to the sanctions and to the entry of findings that she engaged in three outside business activities through which she provided accounting and bookkeeping services and acted as office manager and trustee without providing prior written notice to her member firm. The findings stated that Chatfield received compensation for participating in these activities.

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Suspended: David Gray Dalton Suspended by FINRA

Suspended

David Gray Dalton Suspended by FINRA

An AWC was issued in which Dalton was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Dalton consented to the sanctions and to the entry of findings that he exercised discretionary trading authority in customers’ accounts without having first obtained written authorization from the customers or his member firm to treat the accounts as discretionary.

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