Thomas Vigil

Date:

August 26, 2016

Type of alert:

FINRA AWC  

On June 27, 2016, Thomas Vigil (CRD# 3269058), who has been associated with Infinity Financial Services (Infinity) in Saunderstown, Rhode Island since October 2014, entered into a Letter of Acceptance, Waiver and Consent (AWC) to resolve allegations FINRA made against him regarding violations of securities industry rules. According to the AWC, Vigil allegedly violated FINRA Rule 2010 “by impersonating a customer on a telephone call to an insurance company in order to obtain an annuity surrender form, falsifying the same customer’s rollover request form, and forging a second customer’s signature on a change of broker-dealer form.” These allegations occurred in October 2012, when Vigil was associated with MetLife Securities Inc. (December 2002 to January 2014), and in January 2014 and March 2014, respectively, when Vigil was associated with Signator Investors, Inc. (December 2013 to July 2014).

By signing this AWC, Vigil consented, without admitting or denying the allegations made against him by FINRA, to a six-month suspension from association with any FINRA member in all capacities and a $7,500 fine.

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