Finra bars rep under investigation for client forgery

Formerly of Northwestern Mutual, Donnell Noah Bowen failed to appear at his hearing

Jun 4, 2018 @ 2:05 pm

By InvestmentNews

The Financial Industry Regulatory Authority Inc. has barred former Northwestern Mutual Life Insurance Co. representative Donnell Noah Bowen for failing to provide requested information and for failing to appear at a Finra hearing.

(More: NY Attorney General files 99-count criminal indictment against adviser)

Mr. Bowen was permitted to resign from Northwestern Mutual in January 2017 while under internal investigation for allegations of forgery of client signatures on nonvariable insurance documents. Finra was investigating the matter.

(More: Finra bars broker it was investigating for taking customer funds)

Mr. Bowen, who is not working in the securities industry after leaving Northwestern, joined it in 2009.

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