COLUMBUS, Ga. – Columbus-based Synovus Securities, Inc. was fined over $300k by the Financial Industry Regulatory Authority (FINRA) following several alleged incidents of forgery and falsification of electronic signatures.
Synovus Securities, Inc. is the investment division of the financial service company, and it is a member of FIRNA.
According to regulators, the firm failed to establish, maintain, and enforce a supervision system from Jan. 2022 to Sept. 2025 , including written supervisory procedures, in relation to forgery and falsification, violating FIRNA rules…