Duncan Comrie DeWahl, a former broker with Waddell & Reed in Maitland, Florida, was fied $5,000 and suspended for six months by FINRA findings that he improperly signed at least six customer’s signatures on suitability update forms and submitted them to his member firm. The findings state that with respect to five of the customers, DeWahl signed the customer’s signatures without their knowledge, authorization or consent in violation of the written supervisory procedures of the firm.
Rex Securities Law , located in Boca Raton, FL, provides representation to investors nationwide who are 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.
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