Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
CASES OF NOTE
2011
NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.
December 2011 - View all for this month
Scott Andreu Roges
AWC/2010024280601
Roges falsified a customer’s signature without the customer’s knowledge or consent in an attempt to correct the customer’s social security number and beneficiary’s birth date on an amendment to a fixed life insurance policy. The member firm’s WSPs specifically prohibited registered representatives from falsifying and/or forging customers’ signatures on transaction documents and/or other documents
Scott Andreu Roges: Fined $5,000; Suspended 30 days
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