Kevin Paul O’Brien (CRD # 1782288, Registered Representative, Anderson, Ohio) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, O’Brien consented to the described sanction and to the entry of findings that he engaged in outside business activities for a customer without providing prompt written notice to his member firm. The findings stated that, while engaged in the outside business activities for his customer, O’Brien transferred $378,000 between the customer’s accounts, using a portion of the funds to pay the customer’s legitimate expenses and misappropriating the remaining funds for his own use and benefit. (FINRA Case # 2008015004001)

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