NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Kevin Todd Mehlman
AWC/2009018297901

Mehlman  facilitated securities investments away from his member firm and received compensation as a result of the sales.

Workikng with others through an entity, Mehlman distributed secured investment notes in a company to insurance agents who in turn marketed the notes, which were securities. The entity sold approximately $60 million in the notes and generated more than $6 million in gross commission revenues from which Mehlman received approximately $430,000 from the sales. The investments were not made through Mehlman’s firm and Mehlman did not provide written notice to, or obtain approval from, his firm prior to facilitating the investments.

Kevin Todd Mehlman : Barred