Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 April 7, 2016

March 30, 2015, Grapevine, Texas Sam Marshall Stull entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…

Rex Securities Law
September 6, 2014
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TD Ameritrade Broker Suspended/Fined for Falsifying Customer SIgnatures

TD Ameritrade Broker Suspended/Fined for Falsifying Customer SIgnatures https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 6, 2014 October 18, 2014

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…