Tag Archives: stockbroker forgery

TD Ameritrade Broker Suspended/Fined for Falsifying Customer SIgnatures

In a recent FINRA disciplinary action, Grisel Saez, a broker with TD Ameritrade in Honolulu, Hawaii, was suspended for three months and fined $5,000 for falsifying customer signatures on account opening documents. Saez was terminated by TD Ameritrade and is not currently employed in the securities industry.

If you suspect that documents have been falsified in your brokerage account, call to discuss your legal options with an experienced securities attorney.

Rex Securities Law provides nationwide representation to investors seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.  Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

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