Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Jenna A. Brown (“Brown” or “Respondent”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against me alleging violations based on the same factual findings described herein.
Forgery of a signature is a violation of FINRA Rule 2010, which requires that associated persons observe high standards of commercial honor and just and equitable principles of trade.
By virtue of the foregoing, Brown violated FINRA Rule 2010