Michael Jean-Paul Mason, of Millington, Tennessee, a stockbroker formerly registered with Edward Jones, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officers’ Default Decision containing findings that he falsified customer account documentation and failed to accurately inform his firm concerning his activities. Department of Enforcement v. Michael Jean-Paul Mason, No. 2015044198601 (Mar. 6, 2017).
According to the Decision, FINRA received a Form U5 from Edward Jones on January 26, 2015, in which Edward Jones indicated that Mason resigned from his firm based upon allegations that inaccurate information or false information concerning client information was provided by Mason to his firm pertaining to seven of the firm’s new customer accounts.
Consequently, FINRA requested that Mason provide recorded testimony regarding the allegations of his misconduct, according to Rule 8210. Mason was due to testify on September 28, 2016; however, he never showed up. The Decision stated that another request was made by FINRA for Mason to testify on October 18, 2016; however, Mason never made an appearance. FINRA then filed a Complaint against Mason, alleging his conduct was violative of FINRA Rules 2010 and 8210, to which Mason never responded.
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