John Edward Mulligan (CRD # 1260708, Registered Supervisor, Sarasota, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. The fine must be paid either immediately upon Mulligan’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, Mulligan consented to the described sanctions and to the entry of findings that he “cut and pasted” a public customer’s signature to a spousal IRA rollover form without the customer’s knowledge or consent.

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