No evidence of client complaint, loss, or lack of authorization identified, says regulator.
Dealing representative banned permanently for failing to renounce legacies quickly enough.
Failing to obtain client initials to form alterations a costly mistake for two more representatives.
Representative ordered to pay $27,500.
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.