John Gerard Conlon (CRD #1803749) Has an Employment Separation Disclosure on FINRA BrokerCheck

John Gerard Conlon (CRD #1803749) is a broker currently registered with ThinkEquity LLC and has an employment separation disclosure on FINRA BrokerCheck. We reviewed his BrokerCheck report on March 18, 2026. It reflects one employment separation disclosure. If you worked with John Conlon and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation After Allegations

John Conlon’s FINRA BrokerCheck report reflects one employment separation disclosure. A summary of the disclosure is below:

According to John Conlon’s FINRA BrokerCheck report, Quattro M Securities reported that on January 12, 2026, John Conlon was permitted to resign while the firm was conducting an internal compliance review. The review involved OTC securities trading, electronic order routing practices, customer onboarding, and related supervisory controls. John Conlon’s FINRA BrokerCheck report lists the product types as OTC equities, listed equities, and penny stocks.

The broker-reported version in John Conlon’s FINRA BrokerCheck report says he voluntarily resigned and disputes the Form U5 language used by the firm. It also states that he was not told the basis of the investigation described in the filing.

Rule Summary #1: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system designed for compliance. A disclosure that mentions order routing, customer onboarding, and supervisory controls can raise questions about how that supervision was carried out.

Rule Summary #2: FINRA Rule 4512 (Customer Account Information)

FINRA Rule 4512 requires firms to maintain core customer account information. A disclosure that references customer onboarding can raise questions about how account-opening information and related records were handled.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

1. Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

2. Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

3. Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

4. Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, John Conlon is currently registered with ThinkEquity LLC.

John Conlon has passed the Securities Industry Essentials (SIE) exam and the Series 7 exam. He has also passed Series 55, Series 57TO, Series 19, Series 25, and Series 63.

John Conlon was previously registered with firms that include Quattro M Securities Inc., Aegis Capital Corp., and Buckman, Buckman & Reid, Inc.

Kurta Law Can Help

If you have worked with John Conlon and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. An attorney can help you assess potential claims. You may be entitled to pursue recovery through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What is Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.