FINRA Bars Thomas Barton Following Forgery Allegations
Thomas Barton (CRD #:6908590), a broker formerly registered with Mutual Of Omaha Investor Services, has been barred by FINRA, according to his BrokerCheck record, accessed on February 16, 2022.
This bar stems from allegations that Thomas Barton electronically signed the names of individuals on insurance policy applications without their prior permission and submitted the forged applications to an insurance company. He allegedly designated his own bank account for the automatic premium payments on each application. None of the three individuals allegedly authorized Thomas Barton to sign their names on the applications, and none of them had discussed purchasing insurance through him.
After one of the individuals contacted the insurance company and inquired about why she and her spouse had been issued policies, Thomas Barton allegedly claimed that the policies had been issued by mistake. He also allegedly failed to disclose the third unauthorized application.
FINRA Rule 2010
Forgery is inconsistent with just and equitable principles of trade and violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.
You can read the full copy of the bar here.
Employment Termination Details
On April 27, 2021, Mutual of Omaha Investor Services fired Thomas Barton after he allegedly falsified information and failed to follow e-signature procedures.
Thomas Barton has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6TO – Investment Company Products/Variable Contracts Representative Examination
Besides Mutual Of Omaha Investor Services, Thomas Barton has also worked with Cambridge Investment Research (CRD#:39543).
Kurta Law Can Help
If you have been victimized after working with Thomas Barton, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.