Helbig, Thomas Charles

Thomas Charles Helbig (CRD # 1039534, Registered Representative, Carnegie, Pennsylvania) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Helbig misused a public customer’s funds by causing the unauthorized transfer of $10,000 from a customer’s annuity to a bank account Helbig owned, thereby commingling the customer’s funds with his personal funds. The findings stated that Heblig failed to respond fully to FINRA requests for information and documents, and failed to appear for a FINRAon-the-record interview. (FINRA Case # 2006005528601)

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