Skip navigation
Menu
Search Forums
The Advisor Forums

Forgery

or Register to post new content in the forum

6 RepliesJump to last post

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Jul 20, 2009 8:27 pm

ivebeentaken

Joined: 2008-05-06Offline

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

Moraen

Joined: 2009-01-23Offline
ivebeentaken:

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

ivebeentaken

Joined: 2008-05-06Offline

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

etj4588

Joined: 2008-08-19Offline

what do you think?

Jul 20, 2009 9:16 pm

ivebeentaken

Joined: 2008-05-06Offline

I would think that it would be very serious.  Has anyone ever had something like this happen before?

Jul 31, 2009 2:19 pm

ivebeentaken

Joined: 2008-05-06Offline

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.