The allegations read: Without admitting or denying the findings, gerow consented to the sanctions and to the entry of findings that he manually signed the names of customers, without the customers' prior permission, on forms, as part of transitioning the customers from his prior employer to his current member firm. The findings stated that nearly all of the forms pertained to securities products, including a mutual fund and a variable annuity, and accordingly, gerow caused his firm to maintain inaccurate books and records. One customer complained and stated that she did not consent to changing the broker dealer for her account to gerow's new firm.
