The allegations read: Nasd rules 2110 and 3110: respondent he improperly altered account transfer forms that were used by public customers to open or transfer brokerage accounts to his member firm. The findings stated that fatta altered the pertinent information around the customer signatures and used copies of the altered documents as though they were new transfer forms for purposes of transferring the customers' brokerage accounts from his prior to current member firm. He did not disclose his alteration of the account transfer forms which caused the firm's records to be inaccurate, in violation of section 17 of the sec act of 1934, and rule 17a-3 thereudner; fatta charged customers unreasonable and excessive option commissions on covered call transactions.
