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Regulator imposes $30k fine for pre-signed forms

By Kate McCaffery | Sept. 15, 2021, 3:40 p.m.

A representative admits he obtained, possessed and in some instances used to process transactions, 80 per-signed account forms for 51 different clients.

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Pre-signed and altered forms cost representative $25,000

Firm fined $175,000 plus costs

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