September 28, 2023 – An AWC was issued in which Roos was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for four months. Without admitting or denying the findings, Roos consented to the sanctions and to the entry of findings that he forged or falsified customer signatures on account documents. The findings stated that by doing this, Roos caused his member firm to maintain inaccurate books and records. While none of the customers complained, some of the names were signed on documents without the customers’ permission. In addition, Roos falsely attested in annual compliance questionnaires that he had not signed or affixed another person’s signature on a document.
The suspension is in effect from October 2, 2023, through February 1, 2024. (FINRA Case #2022074093701)