Katie Atwood first entered the securities industry in 2007. From September 9, 2011 to February 10, 2012 she was associated with LPL Financial. In February 2012, Ms. Atwood was terminated by LPL Financial.
On December 20, 2013, Katie Atwood and FINRA entered into a letter of acceptance, waiver and consent, known as an AWC (No. 2013036021702). According to the ACW, Ms. Atwood was interviewed by FINRA in connection with an investigation into a complaint that a former LPL Financial employee used Ms. Atwood’s notary stamp to notarize documents without her authorization by forging her signature. Initially, Ms. Atwood falsified evidence and made misrepresentations to FINRA regarding the investigation. Eventually, Katie Atwood admitted that she made certain misrepresentations to FINRA. This conduct constituted a violation of FINRA Rule 2010.
In connection with this activity, Ms. Atwood was fined $5,000 and was also suspended from associating with any FINRA member for a period of six months. For more information on Katie Atwood’s fine and suspension, please visit FINRA’s website.