FINRA

WITHOUT ADMITTING OR DENYING THE FINDINGS, COMER CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT SHE ACCEPTED INSTRUCTIONS FROM A THIRD PARTY (A CUSTOMER'S THEN HUSBAND) TO EFFECT MUTUAL FUND REDEMPTIONS FROM THE CUSTOMER'S ACCOUNTS WITHOUT PRIOR WRITTEN AUTHORIZATION FROM THE CUSTOMER, AND CONTRARY TO HER MEMBER FIRM'S WRITTEN SUPERVISORY PROCEDURES. THE FINDINGS STATED THAT THERE WAS NO POWER OF ATTORNEY OR OTHER LETTER OF AUTHORIZATION ON FILE PERMITTING COMER TO ACCEPT THE HUSBAND'S REQUESTS TO EXECUTE THESE REDEMPTIONS FROM THE ACCOUNTS.

Acceptance, Waiver & Consent(AWC)

Censure

Civil and Administrative Penalty(ies)/Fine(s)

$7,500.00

CLAIMANT ALLEGES THAT MS. COMER ACTED WITHOUT HER AUTHORITY.

$239,832.00

$47,500.00