Dennis Dean Dorn (CRD # 4145635, Registered Representative, Henderson, Nevada) 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 15 months. The fine must be paid either immediately upon Dorn’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, Dorn consented to the described sanctions and to the entry of findings that he signed customers’ names to insurance-related documents in violation of his firm’s policy prohibiting registered representatives from signing or initialing documents on customers’ behalf, without exception. The findings stated that some customers had authorized Dorn to sign their names, but others had not. The findings also stated that Dorn signed a customer’s name to a letter representing that the customer had removed a wire-transfer machine from his business premises so that an insurance company would renew the customer’s policy, even though Dorn knew that the machine had not been removed and the customer had not authorized Dorn to sign his name on the letter.

The suspension is in effect from January 5, 2009, through April 4, 2010. (FINRA Case # 2007011414701)