February 2019-Carmichael, CA
Dean M. Yurica entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents related to customer accounts for the convenience of customers in violation of FINRA Rule 2010 and provided false information to his firm about whether he obtained a client signature on a blank or incomplete document .
According to the AWC, between June 2010 and December 2012 he falsified 129 documents related to 70 customer accounts. He used several methods to falsify documents including acquiring pre-signed forms from customers that were otherwise blank, and he later completed the information on the forms. He also obtained and maintained stacks of blank forms that had been pre-signed by the customers to process subsequent customer transactions.
Yurica was fined $25,000 and suspended for nine months.
According to FINRA records, Yurica was discharged from LPL Financial in June 2013 when they learned that he had violated the firm’s signature policy. He is not currently registered and was last registered with Lantern Investments, Inc. and was registered with LPL Financial 4/2003-7/2013.
Lantern Investments is headquartered in Melville, New York and has offices in Chicago, San Francisco, San Diego, Hoboken and Houston. He also discloses a business affiliation with Yurica Wealth Management.
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