A year after FINRA suspended and fined a financial adviser who previously worked at a credit union for secretly downloading confidential, member information before taking another job at Wells Fargo, the defendant has appealed the decision.

According to a March 2013 FINRA Hearing Panel Decision, Steven Robert Tomlinson violated NASD Conduct Rule 2110 when he downloaded the information to his personal flash drive without authorization and then gave personnel at Wells Fargo access.

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