The allegations read: Without admitting or denying the findings, neuberg consented to the sanctions and to the entry of findings that he, who was the principal of a branch office of his member firm, failed to reasonably supervise the activities of an individual, working as a registered representative and neuberg's assistant in the branch office. The findings stated that during her association with the firm, the representative altered documents related to customer accounts, including by reusing signatures from forms that had been previously completed by customers. She also caused the falsified forms to be maintained in the customers' files. She falsified documents to expedite transactions as an accommodation to customers, but the firm's compliance manual prohibited altering documents in the manners employed by her. The findings also stated that neuberg ceased regularly reviewing paperwork prepared by the representative shortly after she was hired by the firm. Moreover, notwithstanding the fact that she asked neuberg whether she was allowed to use white-out on customer documents, neuberg failed to make a reasonable inquiry or conduct a review of the files she had handled to determine if she was following the firm's document and signature policies. Neuberg also failed to train the representative or otherwise to take action to prevent her from engaging in the conduct described above.
