FINRA recently announced that Jennifer Evelyn Cheeseman, a former financial advisor with NY Life Securities in Stapleton, Alabama, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cheeseman consented to the described sanctions and to findings that she altered term life insurance policies in order to [...]
According to a recent FINRA announcement, Francis Michael Evans, formerly of NY Life Securities in LaGrange , Illinois (outside of St. Louis, Missouri), has been fined $5,000 and suspended from associating with any FINRA member firm for 6 months. The sanctions were based on findings that Evans forged customer signatures on annuity policy applications and [...]
According to a FINRA announcement in April 2009, Francis Michael Evans was suspended from FINRA for falsifying signatures on documents related to a customer’s annuity policies, in violation of FINRA Conduct Rule 2110. FINRA suspended Francis Michael Evans suspended from associating with any FINRA member firm in all capacities for six months. The decision appears [...]