Jeffrey Robert Unruh (CRD # 2758509, Registered Representative, Phoenixville, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 18 months. The fine must be paid either immediately upon Unruh’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, Unruh consented to the described sanctions and to the entry of findings that he forged a customer’s signature on an acknowledgment form. The findings stated that after flagging the order for shares of a bond fund because they did not match the primary investment objective on the new customer’s profile form, Unruh’s member firm instructed him to obtain a signed letter from the customer acknowledging that she understood that the bond fund that Unruh recommended was contrary to her conservative risk and capital preservation investment objectives specified in her new account documents. The findings also stated that instead of obtaining the requested acknowledgement letter from his customer, Unruh drafted a letter, signed his customer’s name and submitted it to his member firm. The findings included that Unruh offered a false explanation in response to a FINRA request for information. The suspension is in effect from October 5, 2009, through April 4, 2011. (FINRA Case # 2008014322401)

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