Two forms and 30 altered forms, some dating back to 2016, costs rep $24,500.

Tasked with growth mandate, new executive vice president will oversee four businesses.

Experienced dealing representative fined $50,000 for trades made to maintain model portfolios.

Altered forms also discovered during 2020 branch audit.

Pre-signed and altered account forms also discovered during the course of firm’s investigation.

Forms signed in 2017 discovered in 2021 file review.

He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.