Based on his recommendation to an elderly customer, a Registered Rep with Chase Investment Services Corporation sold mutual funds in the customer's account and used the proceeds to purchase annuities - equity indexed annuity and a variable annuity. As part of its supervisory review, the firm required RRs to provide a written statement describing the rationale for recommending that a customer sell a packaged product, including a mutual fund, and replace it with another packaged product, including an annuity. After completing the form, RR Vikas Goel placed (forged?) the customer's signature on 2 statements he prepared in connection with the recommended transactions - without the customer's knowledge, authorization or consent.   The (forgeries) were detected and the RR was charged with separate violations of NASD Rule 2110. Unbeknownst to Goel, the firm did not require a customer’s signature on the RR's statement of rationale. FINRA Sanctions. Vikas Goel was fined $7.5K and suspended for one month.   This is FINRA AWC #2009020539701.   [Disciplinary Actions for October]