Raymond Alexander Thomas of Network 1 Financial Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Decision and Order of Offer of Settlement containing findings that Thomas engaged in undisclosed outside business activities while registered with Network 1 Financial Securities. Department of Enforcement v….
Raymond Alexander Thomas (also known as Ray Thomas) of Brooklyn New York a stockbroker formerly registered with Network 1 Financial Securities Inc. is the subject of a Financial Industry Regulatory Authority (FINRA) Department of Enforcement Complaint alleging that he engaged in unauthorized outside business activities and that he lied to FINRA personnel to conceal his…