Former securities representative suspended and fined for forging and/or falsifying customer and registered representative signatures
FINRA Rule 2010 FINRA Rule 4511
Former securities representative barred for allegedly providing falsified documents and false testimony
FINRA Rule 2010 FINRA Rule 8210
Former securities representative suspended and fined for allegedly permitting his business partner to falsify signatures on account documents
FINRA Rule 2010 FINRA Rule 4511
Former securities representative barred for allegedly breaching fiduciary duties to his employer
The securities representative, who has been subject of prior disciplinary actions, directed the community bank at which he served as an advisory director and consultant to engage in an investment strategy beneficial to himself, but one that exposed the bank to excessive risk and unnecessary trading costs.
FINRA Rule 2010
Former securities representative suspended and fined for allegedly engaging in unauthorized trading
The securities representative accepted orders for securities trading in a community bank’s accounts from another of the firm’s registered representatives who was also an advisory board member for the customer community bank.
The trading caused the bank to take on excessive risk in its investment portfolio. A disgorgement of $150,000 has also been ordered.
FINRA Rule 2010
Former securities representative barred for allegedly refusing to produce documents and information
FINRA Rule 2010 FINRA Rule 8210
| Unless otherwise noted all respondents accepted and consented to FINRA’s findings without admitting or denying them. |