FINRA’s Department of Enforcement investigated Levering and found she forged her branch manager’s name and the subsequent branch manager's name on 20 customer forms. According to FINRA, Levering did not receive approval to sign the branch managers’ names on any of the forms. FINRA also notes that no customers were harmed as a result of Levering’s forgeries, but nonetheless, Levering’s conduct violated financial securities rules and regulations.
Levering’s alleged misconduct violated FINRA Rule 2010, which requires members to comply with “high standards of commercial honor and just and equitable principles of trade.” Here, Levering falsified her branch managers’ signatures on firm documents, and as consequence, violated financial industry rules and regulations.
Lufrano Law, LLC is a national securities litigation firm and has experience representing investors who have investment disputes with brokers and broker-dealers. If you suffered damages as a result of investing with Levering through Raymond James, or if you believe that you have been a victim of securities and investment fraud including falsified documents, please complete our contact form or contact one of our attorneys at (800) 627-2179.