McLemore misappropriated member firm funds by using expense reimbursements for personal expenses, charging personal expenses to her corporate credit card and failing to pay the bills on the card. McLemore’s firm had previously sent her a memorandum about deficient and late payments on her corporate credit card, reminding her that she had agreed to use the card only for corporate expenses and to pay the balance in full each month. The credit card vendor notified McLemore’s firm that her account was delinquent with a balance of $6,442.20. McLemore’s firm terminated her employment and paid the credit card balance, including the charges incurred for her personal expenses, as it was obligated to do.
McLemore failed to respond to FINRA requests for information and to appear for an on-the-record interview.
Floyd requested and received temporary automated teller machine (ATM) cards in customers’ names and used the cards to withdraw a total of more than $15,000 from the customers’ accounts without their knowledge or consent, and used the funds for his own personal use and benefit.
Floyd failed to respond to FINRA requests for documents and information.