Mark McEwen (CRD # 4613500, Registered Principal, St. Charles, Missouri) was barred from association with any FINRA member in any capacity. The sanction was based on findings that McEwen converted $32,528.56 from a customer by falsely informing her that a check McEwen’s member firm sent to her pursuant to a consent order with the Missouri Securities Division for unsuitable variable annuity sales to the elderly was sent to her by mistake and actually represented commissions the firm owed him. The findings stated that McEwen instructed the customer to deposit the check into her bank account and then make a check payable to him in the same amount; after the customer followed these instructions, McEwen cashed the check and deposited the funds into his personal bank account. The findings also stated that McEwen converted an additional $11,000 from the customer by depositing checks intended for investment into his personal bank account and failed to purchase investments on the customer’s behalf. FINRA found that McEwen failed to appear for FINRA on-the-record testimony.

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