Warren Elroy Lystrup (CRD # 1787059, Registered Representative, Goodyear, Arizona) 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 30 days. Without admitting or denying the findings, Lystrup consented to the described sanctions and to the entry of findings that he cut and pasted a public customer’s signature onto his member firm’s delivery assurance form–which substantiated delivery of a financial plan–without the customer’s knowledge or consent.

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.