The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
Jill Meredith Carr (CRD #5353409, Registered Representative, Ellicott City, Maryland)
was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the findings, Carr consented to the described sanctions and to the entry of findings that she forged the signatures of at least 15 firm customers on forms, and altered the information on other forms after those forms had been signed.
FINRA's findings stated that Carr forged the clients’ signatures on update forms without the clients’ knowledge, authorization or consent. FINRA's findings also stated that Carr forged other forms and documents.
This suspension is in effect from August 5, 2013, through August 4, 2015.
(FINRA Case #2012033491901)
Jill Meredith Carr was previously registered with FINRA at the following brokerage firms:
WADDELL & REED, INC.
CRD# 866
OWINGS MILL, MD
01/2009 - 07/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD# 7691
BALTIMORE, MD
08/2007 - 12/2008
This ends the information obtained on FINRA's website.
If you find yourself in a similar situation with your broker or financial advisor, call Soreide Law Group for a free consultation with an attorney, 888-760-6552.
The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
Jill Meredith Carr (CRD #5353409, Registered Representative, Ellicott City, Maryland)
was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the findings, Carr consented to the described sanctions and to the entry of findings that she forged the signatures of at least 15 firm customers on forms, and altered the information on other forms after those forms had been signed.
FINRA's findings stated that Carr forged the clients’ signatures on update forms without the clients’ knowledge, authorization or consent. FINRA's findings also stated that Carr forged other forms and documents.
This suspension is in effect from August 5, 2013, through August 4, 2015.
(FINRA Case #2012033491901)
Jill Meredith Carr was previously registered with FINRA at the following brokerage firms:
WADDELL & REED, INC.
CRD# 866
OWINGS MILL, MD
01/2009 - 07/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD# 7691
BALTIMORE, MD
08/2007 - 12/2008
This ends the information obtained on FINRA's website.
If you find yourself in a similar situation with your broker or financial advisor, call Soreide Law Group for a free consultation with an attorney, 888-760-6552.
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