Alan Stuart Pattee (CRD #3002976, Registered Representative, Lake Worth, Florida)
has submitted a Letter of Acceptance, Waiver and Consent in which was barred from
association with any FINRA member in any capacity. Without admitting or denying the findings, Pattee consented to the described sanction and to the entry of findings that
he forged homeowner signatures on uniform mitigation verification inspection forms
(UMVI forms) in connection with inspections performed by a qualified inspector regarding construction information; the form is submitted to the homeowner’s insurance company in connection with insurance pricing.
These findings stated that Pattee forged the signatures to accommodate his clients, who were either not at home at the time of the inspection or were his longtime clients. The findings also stated that Pattee acted as an officer for a company formed to conduct inspections to determine homeowner policy premiums, for compensation, without providing prompt written notice to his member firm for this outside business activity.
FINRA’s findings also included that Pattee completed securities annual compliance online certifications for his firm representing that he had complied with the requirements of NASD Rule 3030 and for the certifications, certified that no changes were needed to his Form U4 or that he had requested appropriate changes to the Form U4 regarding outside business activities.
(FINRA Case #2010023232101)
This information is from FINRA’s website’s Disciplinary Actions, December, 2011.
Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have experienced losses through Alan Stuart Pattee, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses. To speak with an attorney, call 888-760-6552, or visit www.securitieslawyer.com.
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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