Natalie H. Hall (CRD #3114938, Westwood, Kansas)
was assessed a deferred fine of $5,000 and suspended by FINRA 30 business days for allegedly copying and pasting a client’s signature on an outgoing wire transfer request form. The client authorized the wire transfer, however he did not authorize Hall to paste his signature on the form.
FINRA’s findings stated that Hall also copied and pasted another client’s signature on an electronic transfer form, and forged the same client’s initials on the form. That client authorized the transfer, but she did not authorize Hall to paste her signature on the form or forge her initials.
The suspension was in effect from May 18, 2015, through June 29, 2015.
(FINRA Case #2013038702801)
Natalie Hall was previously registered with the following firms:
06/2009 – 10/2013 MORGAN STANLEY (CRD# 149777) – KANSAS CITY, MO
04/2007 – 06/2009 MORGAN STANLEY & CO. INCORPORATED (CRD# 8209) – KANSAS CITY, MO
11/1999 – 04/2007 MORGAN STANLEY DW INC. (CRD# 7556) – KANSAS CITY, MO
This ends the information from FINRA’s Discipline Report July 2015.
Soreide Law Group represents our clients nationwide before FINRA. Call for a no-cost consultation with an attorney on how to potentially recover your investment losses due to your broker or financial advisor: 888-760-6552.