Martindell forged the signatures of her immediate supervisor and of her branch manager at her member firm.
Martindell signed the name of her supervisor, a firm financial advisor, to firm documents titled “Advice of Trade” letters without the financial advisor’s authorization or consent and mailed the letters to the customers involved; each of these letters informed a firm customer of trades that had been effected in that customer’s account.
Martindell signed her branch manager’s name to an internal firm form authorizing the transfer of funds and securities from the account of a customer to a joint account held by the customer and the customer’s relative. Martindell signed the branch manager’s name on another internal firm form that memorialized the multiple names that another customer could use in signing documents related to his account.
Martindell completed an IRA distribution form for her own account in order to access funds held in that account and Martindell again signed her branch manager’s name on this form. In addition, Martindell signed the branch manager’s name on these forms without his authorization or consent, and submitted the forms for further processing.