NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Melissa Dawn Curry
AWC/2009017865401

Associated Person Curry misappropriated $42,600 from a registered representative of her member firm. Curry took checks from the desk of another employee, who maintained the registered representative’s checks, placed her name on the checks as payee, filled in amounts ranging from $200 to $3,500, forged the registered representative’s signature, and deposited the checks into her personal bank account.

Melissa Dawn Curry: Barred

Tags: Check  Forgery