A Texas-based registered rep with Chase Investment Services was sanctioned over cash gifts he received from a customer and her relative.  Apparently, one of Casey W. Smith's customers liked to slip him a little cash as a token of appreciation for personal assistance that he offered.  No one would have ever known, except another broker entered the picture. 

All told, Smith accepted $15,300 in cash gifts during his visits to their safe deposit boxes and to the customer's home.  At the time of the gifts, Smith was aware that his bank's code of conduct prohibited the practice.

FINRA learned of the matter when the same customer offered another employee cash for helping her with her safe deposit box.  That employee, however, refused the gift and reported the incident to his supervisor, which implicated Smith.  When questioned, Smith admitted he accepted gifts and was terminated. 

Besides being terminated, Smith agreed to a $15K fine and 3-month suspension.  This is FINRA Case #2009018573101.   [Disciplinary Action for July 2011]