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Operations Manager Doctored Up CEP Firm Element
October 27, 2011
The operations manager for two Louisiana branch offices of Metlife Securities, Inc., agreed to settle FINRA charges that he doctored the results of the Firm Element Continuing Education Program at the branches.
Marcus Patrick Camp entered the industry in 1994 and worked for Metlife from December 2008 through July 2009. Camp was responsible, among other things, for supervising the registered reps' timely completion of the internal, computer-based Firm Element CEP.
During July 2009, Camp finished the required proficiency tests for two of the RRs and provided answers to 4 of them. Camp apparently offered to assist or take the proficiency tests for other RRs, but they rejected his offer.
FINRA Fines, Suspensions. Camp was fined $10,000, was barred from association with any FINRA member in any principal capacity, and received a full 6-month suspension. This was FINRA AWC #2009019276101. [Disciplinary Actions for October 2011]
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