Lorne, Nathan James

Nathan James Lorne (CRD # 3277561, Registered Representative, Denver, Colorado) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Lorne made unauthorized withdrawals totaling approximately $12,101 from an organization for which he was treasurer, and hid the withdrawals from the organization’s officers and submitted false financial reports to the organization. The findings stated that Lorne converted the funds for his own personal use, except for a small amount that was for legitimate expense reimbursement, but repaid the organization after he was confronted about the unauthorized withdrawals. The findings also stated that Lorne engaged in outside business activities and failed to provide prompt written notice to his member firm, and made misrepresentations to his firm regarding any outside business activity.

 
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