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.

Roslyn E. Bixby
AWC/2009016572701

Shortly before resigning from her member firm to work at another member firm, Bixby caused customer records to be altered without authorization. Bixby made inaccurate updates to customer telephone numbers and deleted customer email addresses in order to slow down other registered representatives whom she believed would be assigned to call her customers after she resigned. By changing customer telephone numbers and email addresses, Bixby caused her firm to create and maintain inaccurate books and records.

Roslyn E. Bixby : Fined $5,000; Suspended 1 month

Tags: Altered Customer Phone Records