Proceeding Number 2007008128901

Hearing Panel Decision in Department of Enforcement v. Francis M. Evans

April 21, 2009

For falsifying signatures on documents related to a customer’s annuity policies, in violation of Conduct Rule 2110, Respondent is suspended from associating with any FINRA member firm in all capacities for six months, fined $5,000, and assessed costs.

View Decision (PDF 112 KB)