Nicholas Snow (a/k/a Nick Snow) was registered as a securities representative with LPL Financial from November 2008 through March 2010 in Westerville, Ohio. Between February 2010 and June 11, 2010 Nicholas Snow was registered in the same capacity with Cadaret, Grant & Co., Inc. also in Westerville, Ohio.
On June 4, 2012, Nicholas Snow and FINRA entered into a letter of acceptance, waiver and consent, known as an AWC (No. 20100023188901). According to the AWC, Nicholas Snow violation FINRA Rule 2010 by signing the names of two customers in connection with the purchase of variable annuities. Mr. Snow placed the false signatures on forms which, among other things, authorized the transfer of funds between annuity accounts.
In connection with the foregoing activity, Nicholas Snow consented to a fine of $5,000 as well as a 30 business day suspension from associating with any FINRA registered firm. For more information regarding Mr. Snow’s suspension or this activity, please visit FINRA’s website.