2021070734301 Beliveau Bays CRD 6034987 Complaint lp (2023-1700266803206).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant, v. Beliveau Bays
CRD No. 6034987, Respondent.
Disciplinary Proceeding
No. 2021070734301
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. In July 2019, Respondent Beliveau Bays, while associated with LPL Financial
LLC (LPL), forged the electronic signatures of four customers on six account applications and
one account transfer form. The customers did not give Bays permission to sign their names nor
did they have any knowledge that Bays had done so.
2019060753506 Philip M. Connors CRD No. 5274094 AWC gg (2023-1700266803207).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019060753506
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Philip M. Connors (Respondent)
Former General Securities Representative
CRD No. 5274094
Pursuant to FINRA Rule 9216, Respondent Philip M. Connors submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
19-01933(2).pdf
Motion to Confirm