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.

Christopher Brooks Mintz (Principal)
AWC/2009016922701

Mintz falsified journal requests for customers’ accounts without their knowledge or authorization. Mintz submitted the falsified journal requests to his member firm as authentic and caused securities to be journaled from the customer accounts to his personal account. Mintz sold the securities that had been falsely journaled to his account and converted the proceeds in the amount of $1,054,440.97.

Mintz failed to respond to FINRA requests for information.

Christopher Brooks Mintz (Principal): Barred