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stockbroker falsifies signature

Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents

Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents 150 150 Rex Securities Law

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…

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TD Ameritrade Broker Suspended/Fined for Falsifying Customer SIgnatures

TD Ameritrade Broker Suspended/Fined for Falsifying Customer SIgnatures 150 150 Rex Securities Law

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…

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