The Financial Industry Regulatory Authority (FINRA) has barred ALEXIS COOKE (ALEXIS K COOKE, ALEXIS KINASHEA COOKE) CRD#: 5598604, on August 13, 2021, from acting as a broker or otherwise associating with a broker/dealer firm.
According to the FINRA report, available to the public on FINRA’s website, without admitting or denying the findings, ALEXIS COOKE consented to the sanction and to the entry of findings that she allegedly engaged in falsification, impersonation, and forgery with two variable annuity applications involving two clients, and falsification with two fixed annuity applications also involving those clients.
FINRA’s findings stated that this originated from ALEXIS COOKE's member firm's filing of a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that she resigned during an internal investigation into allegations that she submitted insurance and annuity applications for clients without the clients' full knowledge or consent for the purpose of meeting production requirements.
According to the FINRA findings, ALEXIS COOKE, allegedly completed variable annuity applications and falsely represented them to the firm as authentic applications for transactions that the clients had authorized. They were allegedly submitted without each client's knowledge or consent. Cooke also allegedly completed and submitted two fixed annuity applications on behalf of the same two firm clients in that she falsely attested to meeting with them, witnessing their signatures, and reviewing their original driver's license. FINRA stated that Cooke received approximately $68,000 in advanced commissions for the applications, all of which was recovered by the firm when the applications were not funded.
The FINRA findings included that ALEXIS COOKE allegedly created fake email addresses for the two firm clients that she used to electronically forge the clients' signatures on the variable annuity applications.
FINRA found that ALEXIS COOKE allegedly provided false and misleading information to FINRA during her initial on-the-record interview.
ALEXIS COOKE is a former NYLIFE Securities from Lake Success, New York, and Pruco Securities of Brooklyn, New York, registered representative which are both units of New York Life Insurance Co. and Prudential Financial.
According to FINRA’s BrokerCheck, ALEXIS COOKE, was registered in the securities industry for 11 years and was listed with 5 firms.
If you’ve experienced losses due to the actions or recommendations of the former broker, ALEXIS COOKE, contact Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee and represents our clients nationwide before FINRA.
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