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Nickolus Finley (Waddell & Reed/San Diego) Cited for Copying & Pasting Customer's Signature

FINRA fined and suspended broker Nickolus William Finley, formerly of Waddell & Reed, Inc. in San Diego, California, for copying and pasting a customer's signature without authorization and using another registered representative's signature on 17 firm documents without that rep's authorization and in contravention of firm policy.

FINRA AWC #2014043721701

The findings state that Finley (CRD #5710732) copied a Waddell & Reed customer's signature from the client's Financial Planning Services Agreement and pasted the signature to a section of the agreement authorizing a credit card charge in the amount of $1,500, without the customer's authorization to paste the signature onto the signature line.

FINRA also found that while working as an assistant to another registered representative, Finley used that person's signature stamp on 17 customer-related documents without the rep's authorization or consent. Waddell & Reed policy at the time additionally prohibited the use of a stamp on customer-related documents.

If you have invested with Nickolus William Finley, formerly of the San Diego, CA Waddell & Reed office, or with any broker or financial adviser whose unauthorized or prohibited copy & paste use of your signature on firm documents without your permission or consent has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

Categories: Discipline, FINRA, Compliance
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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