Buston, Maine- Ameriprise Financial Broker Lisa Brislin Sanctioned by FINRA

Lisa Ann Brislin of  Buston, Maine submitted a Letter of Acceptance, Waiver  and Consent in which she was fined $7,500 and suspended from association with any  FINRA (Financial Industry Regulatory Authority)  member in any capacity for 30 days. Without admitting or denying the findings,  Brislin consented to the sanctions and to the entry of findings that she provided false  information on her member firm’s internal system on three occasions by stating that she  verbally confirmed check disbursement instructions with a customer when she never spoke  with the customer. By doing so, Brislin caused the firm to create and maintain inaccurate  books and records. The findings stated that Brislin had effected check disbursements  totaling $44,600 from a firm customer’s account to an unrelated third-party account after  receiving fraudulent emails from someone purporting to be the customer. A firm registered  representative forwarded Brislin an email from what appeared to be a customer’s email  account on file, but the email was sent by an imposter who hacked the customer’s email  account and was fraudulently transferring money to accounts the imposter controlled.  Brislin failed to verbally confirm the transfers as the firm’s policies and procedures required.  A financial adviser contacted the customer and learned that the customer never requested  any check disbursements from the account. The firm restored the $44,600 in funds that  were improperly disbursed from the customer’s account.

The suspension was in effect from April 7, 2014, through May 6, 2014. (FINRA Case #2012034294501)