Kelly Diane Thomason (also known as Kelly Diane Jones), of Overland Park, Kansas, a stockbroker formerly registered with OFG Financial Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she refused to cooperate with FINRA while she was under investigation. Letter of Acceptance, Waiver, and Consent No. 2020068668802 (January 31, 2022).
According to the AWC, on January 21, 2022, when Thomason was under FINRA investigation for customer loans, she was asked to testify about her activities. FINRA learned on January 21, 2022, that Thomason received its request about testifying in the investigation and that Thomason would not make any appearance. Thomason’s failure to testify showed that she violated FINRA Rules 2010 and 8210. She was barred for this reason.
Thomason was associated with OFG Financial Services Inc. between January 22, 2015, and November 23, 2021. Thomason was discharged as a stockbroker founded on allegations that she misrepresented information to the firm and FINRA regarding an investigation into her taking of loans from securities customers.
