Martin Thomas Jones of New York New York a stockbroker formerly employed by Goldman Sachs Co. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Jones failed to provide information to FINRA personnel that was requested of him. Case No. 2015048052901 (Apr. 10, 2017).
FINRA Public Disclosure reveals that Jones had initially been provided a Notice of Suspension letter from FINRA dated January 5, 2017, informing him that he would be suspended for failing to cooperate with FINRA’s request. Jones’ suspension went into effect on January 30, 2017. By that time, Jones was warned that his continued failure to provide FINRA with information, or his failure to request that his suspension be terminated on other grounds, could result in more severe sanctions. Jones evidently failed to cooperate with FINRA by an April 9, 2017 deadline. Consequently, FINRA automatically barred him by April 10, 2017.
Prior to the FINRA inquiry, Jones had been discharged by Goldman Sachs founded on accusations that without notification to the firm, Jones established outside investment accounts and proceeded to trade in those accounts outside the firm’s auspices – a violation of the firm’s policies.
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