Francis Gingras Facing Allegations of Forgery
Francis Gingras (CRD #: 222176), a broker registered with Northwestern Mutual Investment Services, is facing an investor dispute, according to his BrokerCheck record, accessed on February 24, 2022. Keep reading for more information.
On November 30, 2021, an investor’s daughters alleged that the Francis Gingras forged their initials and their father’s initials on life insurance applications. Forgery violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor. FINRA Rule 4511 also states that brokers must make and preserve books and records—forgery would make these records inaccurate.
Francis Gingras has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE Securities Industry Essentials Examination
- Series 1 Registered Representative Examination
- Series 24 General Securities Principal Examination
He is a registered broker in seven states.
Kurta Law Can Help
If you have worked with Francis Gingras and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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