Forgery
Jul 20, 2009 8:27 pm
My assistant at my former firm forged my name as both a rep and a client (opening an account for me). What will finra think of this?
Jul 20, 2009 8:45 pm
ivebeentaken:
Why?
My assistant at my former firm forged my name as both a rep and a client (opening an account for me). What will finra think of this?
Why?
Jul 20, 2009 8:50 pm
I guess what I’m asking is: Is it considered acceptable? Isn’t it as wrong for an assistant to forge a reps name as it is for a rep to forge a clients name?
Jul 20, 2009 9:11 pm
what do you think?
Jul 20, 2009 9:16 pm
I would think that it would be very serious. Has anyone ever had something like this happen before?
Jul 31, 2009 2:19 pm
Thanks Bill,
I saw this case and understand that this person took money as a result of his actions and also did not respond to FINRA requests, which is HUGE. But, my assistant signed my name numerous times on official docs even opening a personal account for me. However, she did not (that I know of) do it to take money from me-although ultimately she benefited from the forgeries. 'Appreciate the assistance.Source URL:https://www.wealthmanagement.com/forums/legal-issues/forgery