South Florida Arbitration & Litigation Lawyer Blog
Account Executive and Registered Representative Theft and Unauthorized Trading FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq.
March, 2012:
Tammy Lyn Bohnert (CRD #2671147, Registered Representative, Frohna, Missouri) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Bohnert failed to respond to FINRA requests for information. The findings stated that Bohnert fabricated an annuity/settlement option withdrawal service request form to withdraw $3,000 from a customer’s fixed deferred annuity. The findings also stated that Bohnert fabricated the form by attaching the signature page from another form that the customer had signed for a different transaction, and then altering the date next to her signature to make it appear that she had signed the form on the later date. Bohnert then submitted the fabricated form to her member firm for processing. (FINRA Case #2010022579802).