Theft, Fraud and Mismanagement FINRA Arbitration and Litigation Attorney Russell L. Forkey, Esq.

March, 2012

Ray Alexander Thompson (CRD #3209494, Registered Principal, Houston, Texas) 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, Thompson consented to the described sanction and to the entry of findings that he failed to provide FINRA requested testimony. (FINRA Case #2010024707901).