The allegations read: Nasd rules 2110, 2790 - chuck a. Roberts had knowledge that a sales assistant and possible others replaced customer email addresses with the sales assistant's firm email address to facilitate the opening of online accounts and to lessen the amount of communications that were received by the customers; therefore, trade confirmations were sent to the sales assistant rather than the customers although the customers continued to receive their monthly account statements, prospectuses and 1099 federal tax forms by mail. Roberts caused his firm's violation of sec rule 17a-3 and nasd rule 3110. Roberts' relative opened several accounts at his member firm which roberts serviced but failed to disclose to the firm that the individual who owned the accounts was a relative. Had roberts made such disclosure, the account numbers assigned to the accounts would contain a prefix identifying them as being employee related.
