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Cetera Advisor Enkofi John Faces Forgery Complaint
Westbury, New York financial advisor Enkofi John (CRD# 6175076) recently received an investor complaint alleging his conduct resulted in damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Cetera Investment Services, having previously been registered with Foresters Advisory Services.
Mr. John’s BrokerCheck report discloses one investor complaint. Filed in February 2023, it alleges that as a representative of Cetera Investment Services, he “forged his name to a series of documents.” The pending complaint alleges unspecified damages.
For reference, a 2022 FINRA regulatory notice explains that forgery “occurs when one person signs or affixes, or causes to be signed or affixed, another person’s name or initials on a document without the other person’s prior permission.” It is similar to but distinct from “falsification,” which denotes the creation of “a document or entry in a firm’s system that creates a false appearance by including altered or untrue information.” Forgery is considered to be a violation of FINRA Rule 2010, which states that persons associated with FINRA member firms must “observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business.” In cases where an individual commits their forgery in “a book or record the member firm maintains,” the act is also considered to be a violation of FINRA Rule 4511, which stipulates that persons associated with FINRA must “make and preserve books and records as required under the FINRA rules, the Exchange Act and the applicable Exchange Act rules.”
According to the Financial Industry Regulatory Authority, Enkofi John holds nine years of securities industry experience. Based in Westbury, New York, he has been a broker and an investment advisor with Cetera Investment Services since 2019. He was previously registered with Foresters Advisory Services in Westbury, New York from 2013 until 2019. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in California, Colorado, Connecticut, Florida, Georgia, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, and Virginia. (Information current as of March 18, 2023.)
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