Sonn Law Group is investigating claims regarding Natalie H. Hall (CRD #3114938, Westwood, Kansas). Hall recently submitted a Letter of Acceptance, Waiver and Consent (“AWC”) in which she was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 30 business days. See FINRA Case #2013038702801. From June 1999 until September 2013, Hall was associated with Morgan Stanley as a registered sales assistant. The Form U-5 filed by Morgan Stanley Wealth Management to terminate Hall’s registration states that she was “discharged” due to “concerns related to altering client signatures on account documents and conduct during firm’s review of the matter.”
FINRA found that Hall copied and pasted a customer’s signature on an outgoing wire transfer request form. FINRA found that while the customer authorized the outgoing wire transfer, he did not authorize Hall to paste his signature on the form. FINRA also found that Hall copied and pasted another customer’s signature on an electronic funds transfer service form, and forged the same customer’s initials on that form. FINRA found that while the customer authorized the electronic funds transfer, she did not authorize Hall to paste her signature on the form or forge her initials. In entering into the AWC, Hall neither admitted nor denied FINRA’s findings.
Pursuant to FINRA Rules, member firms are responsible for supervising a registered sales assistant’s activities during the time he or she is registered with the firm. Therefore, Morgan Stanley may be liable for investment or other losses suffered by Hall’s customers.
If you were a client of Morgan Stanley, or Hall, and have suffered investment losses or financial irregularities, please contact Sonn Law Group to explore your legal options. Sonn Law Group is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies. To learn more, please call us at 844-689-5754 or complete our “contact form.”