Monty Chad Patton (CRD # 2372126, Registered Representative, Oklahoma City, Oklahoma) 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 18 months. The fine must be paid either immediately upon Patton’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, Patton consented to the described sanctions and to the entry of findings that he prepared and submitted a 403(b) ERISA Distribution Request form on a public investor’s behalf authorizing the distribution of 403(b) assets to a rollover IRA at his member firm. The findings stated that, even though the investor had consented to the transfer of her 403(b) assets, she was ineligible because she was currently employed by the 403(b) plan sponsor. The findings also stated that Patton was aware of her ineligibility, but provided false employment-status information and forged the plan administrator’s signature on a distribution form to facilitate the rollover.