An ex-Ameriprise franchise advisor -- who previously cost the firm more than $420,000 to settle customer complaints -- was fined and suspended by FINRA for allegedly copying and pasting client signatures onto documents.
The alleged signatures violations triggered a month's suspension of his FINRA registration and a $5,000 fine in late November, the agency said. In one case, Jon Dabareiner allegedly had approval from customers to copy their signatures, according to FINRA, but it wasn't enough to stop the agency from moving on the sanctions.
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