Thomas Hogle of Houston, Texas submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) for allegedly failing to provide documents and information requested by FINRA in connection to an investigation claiming unsuitable investment recommendations.
Hogle entered the securities when he became associated with a FINRA member in 1988 as a General Sales Representative. In October 2011, Hogle joined B.B. Graham & Company, Inc. (B.B. Graham) and became registered as a General Sales Representative.