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.

0
Comments

What do you think?

View comments

Most watched

Events

Finding innovation in your firm

Adam Holt of AssetMap explains how advisers understand they need to grow, but great innovation may be lurking right under your nose.

Events

Finding your edge from Tony Robbins

Guru Tony Robbins has helped a lot of people, but armed with his psychology Financial Advisor Josh Nelson has helped his practice soar.

Latest news & opinion

The growth of factor-based investing

Advisers are making decisions about clients' portfolios by using the same characteristics that govern factor-based ETFs.

Finra makes its list to target hundreds of rogue individuals

The regulator sees patterns in the behavior and disclosures of high-risk brokers.

LTC insurer offering co-pays to blunt soaring premium increases

John Hancock policyholders would get a discount on their premium in return for agreeing to pay a bigger portion of their claims in the future.

Goldman Sachs acquires United Capital

After a payday of $75 million or more, CEO Joe Duran plans to join Goldman in a senior position.

Private equity loves IBDs, but will that last?

Three big acquisitions in less than a year signals renewed life in the formerly beleaguered industry.

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print