Signator Accused By Investors Of Unauthorized Trading
Judith Ann Tengler of Broadview Heights Ohio a stockbroker formerly registered with Signator Investors Inc. is referenced in a customer initiated investment related written complaint that was settled on March 1, 2017 to resolve allegations that Tengler effected trades in the customer’s variable annuity account without procuring the customer’s authorization.
Financial Industry Regulatory Authority (FINRA) Public Disclosure further confirms that on December 13, 2011, a customer filed an investment related complaint concerning Tengler’s conduct in which the customer sought unspecified damages supported by accusations that the liquidity and account value of the customer’s real estate investment trust holding was misrepresented by Tengler.
Tengler’s registration with Signator Investors, Inc. has been terminated on June 14, 2018. Since June 5, 2018, she has been employed by LPL Financial LLC.
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