Diane Jo Savage (CRD # 1006815, Registered Representative, Pittsburgh, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days. The fine must be paid either immediately upon Savage’s reassociation with a FINRA member firm following her 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, Savage consented to the described sanctions and to the entry of findings that she altered a subscription agreement by signing a customer’s initials on the agreement after the customer had failed to initial one section of the agreement. The findings stated that Savage’s firm had both a specific policy prohibiting the alteration of subscription agreements and a more general policy requiring that firm records be truthful and accurate. The findings also stated that Savage acknowledged that she was aware of the firm’s policy against alteration of documents and knew it was a violation when she initialed the paperwork on the customer’s behalf.

The suspension is in effect from January 20, 2009, through February 18, 2009. (FINRA Case # 2007011172601)