Columbus-based Synovus Securities has accepted the findings of a federal agency’s investigation into allegations of forgery and falsification of electronic signatures, resulting in a $315,000 fine and a censure, according to a regulatory document.
William Brooks, chief compliance officer for Synovus Securities, signed Sept. 29 the letter of Acceptance, Waiver and Consent from the Financial Industry Regulatory Authority. Thomas Potter III of the Nashville law firm Burr & Furman, serving as counsel for Synovus Securities, also signed the waiver letter.
Asked whether Synovus has any comment about the allegations, Synovus communications director Audria Belton and Synovus communications manager Tiffany Capuano said they have “nothing further to provide on this issue.”…