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.

Leslie Klaserner Robey
AWC/2008014692901

Robey prepared and submitted an Internal Rollover Withdrawal Request form authorizing the funding of a variable annuity that she mistakenly thought she failed to complete when, in fact, the customer had postponed the variable annuity purchase. Without the customer’s approval or instructions or without speaking to the registered representativefor whom she was assisting, Robey, in an effort to correct her perceived error, filled out and affixed the customer’s signature to the form, in violation of her member firm’s policy prohibiting associated persons from signing a customer’s signature to any paperwork, and submitted the paperwork for processing.

Leslie Klaserner Robey: Fined $5,000; Suspended 60 days