Thomas David Sharp

(CRD #1623353, Folsom, California)

April 3, 2025 – An AWC was issued in which Sharp was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 45 days. Without admitting or denying the findings, Sharp consented to the sanctions and to the entry of findings that he borrowed $27,500 from one of his customers notwithstanding that doing so was prohibited by his member firm’s WSPs. The findings stated that the customer agreed to provide Sharp with an interest-free loan from a trust account for which Sharp served as the trustee and representative of record. Sharp has since repaid the loan. The suspension was in effect from April 7, 2025, through May 21, 2025. (FINRA Case #2024081709401) If you have suffered losses as a result of Thomas Sharp's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Thomas Sharp. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.