Forgery

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Jul 20, 2009 4:27 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 4:45 pm
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 4:50 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 5:11 pm

what do you think?

Jul 20, 2009 5:16 pm

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

Jul 31, 2009 10:19 am

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.