FINRA Is Open

2019064698601 Timothy Jay Fazzone CRD 1610976 AWC gg (2022-1662078021759).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064698601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Jay Fazzone (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1610976 Pursuant to FINRA Rule 9216, Respondent Timothy Jay Fazzone submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 22-18

Summary

FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms. Firms have, for example, identified signature issues involving a wide range of forms, including account opening documents and updates, account activity letters, discretionary trading authorizations, wire instructions and internal firm documents related to the review of customer transactions.

2020067267701 Ernest Frerking CRD 2588177 AWC gg (2022-1662078023124).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067267701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ernest Frerking (Respondent) Former General Securities Representative CRD No. 2588177 Pursuant to FINRA Rule 9216, Respondent Ernest Frerking submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070774101 David Wilkie CRD 467130 AWC gg (2022-1662078021897).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070774101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David John Wilkie (Respondent) Former General Securities Representative CRD No. 467130 Pursuant to FINRA Rule 9216, Respondent David John Wilkie submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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