[ by Melanie Gretchen ] An RR in New York, NY, supposedly reduced the burdens on his customers by having the firm e-mails intended for customers re-routed to his own company e-mail address.  The RR used white-out and tape, and re-used documents containing customer authorizations to carry out his efforts which took place over 2 time frames - from April through November 2005, and in April and July of 2007. As described more fully below, the RR altered the firm's records by inserting his company email address on customers' electronic delivery consent forms and customers' online profiles for customer accounts. RR's Professional Background. Alexander McKinnis entered the securities industry soon after graduating from college.  He obtained his Series 7 license in 2000, then obtained his Series 31, 63, and 66 licenses.  He kept his licenses active - first, by working as an institutional margin clerk with Sanford Bernstein & Co. (from 2000 until 2002), then working for several months with Banc of America Securities, where his primary responsibility was to monitor client accounts. In May 2003, McKinnis joined Oppenheimer & Co., Inc. as a sales assistant.  In March 2005, he became associated with Citigroup Global Markets, Inc. (Smith Barney), when the group of advisers, with whom he worked, moved to that firm.  Currently, he's employed as a group administrator with Morgan Stanley Smith Barney. FINRA Findings and Allegations. McKinnis began his alleged misconduct soon after the group moved from Oppenheimer to Smith Barney - in an effort by McKinnis and others to reduce "the burdens that would be imposed on clients resulting from moving the clients' accounts to Smith Barney."  The group had a substantial number of customers, and many of them had multiple accounts - e.g., individual, trusts, retirement accounts, and accounts with different investment objectives - which meant that customers would have to prepare and sign significant numbers of new account forms. Inaccurate Firm Records. To relieve his customers, Alexander Harris McKinnis caused his firm to create and maintain inaccurate books and records by inserting his e-mail address in his firm's computerized customer records that were supposed to record the customers' e-mail addresses, to receive their e-mails. This was done in an effort to provide customers with, what the group considered, "white glove service" - and cause as little inconvenience to customers as possible.  One way was to initially insert McKinnis' email address into Smith Barney's computerized customer records. Photocopies, white-out and tape. McKinnis photocopied documents - e.g., executed New Account forms, customer Identification Verification forms, and Letters of Acknowledgement concerning equity offerings for existing customers - altering most if not all with correction fluid or tape. He then used these altered documents to open one or more additional authorized accounts for the customers or for one or more other individuals related to or associated with the existing customer or for other administrative purposes.  McKinnis also re-used executed documents to authorize such actions as the transfer of customer accounts - again with correction fluid or tape to white out the customers' names, account numbers, or other information on the existing forms and inserting new information. Altered Computer Printouts. When McKinnis couldn't get a printout of the information for a customer or potential customer to open a particular account, he used correction fluid or tape to white out certain information on the printout that was available for a member of the customer or potential customer on the printout, and inserted different information by hand.  Blank or partially completed forms like New Account forms were sent to customers for execution, which McKinnis subsequently completed. FINRA Sanctions. While his customers and the rain forests may have thanked him for being a stand-up guy, FINRA was not so inclined - giving him a $25K fine and 30-day suspension.  While McKinnis' motives appeared to have been altruistic, as he said, both his firm and FINRA suspended him (he was given credit for serving the 30-day suspension imposed by FINRA and is not required to serve the suspension FINRA imposed). For more details, go to [FINRA AWC #2007010398802] and [FINRA Disciplinary Actions for January 2012].