- 2016
Respondent was the President of Aubry Financial Group, LLC, a former Illinois RIA. He solicited an advisory client to make a loan to a telecommunications company for which he served as a board member. The client agreed to loan $30,000 and signed distribution request forms of $25,000 and $5,000. Subsequently, without informing his client, respondent made two copies of the $25,000 distribution request form and changed the signature dates, causing an additional $50,000 of client funds to be disbursed to the telecommunications company.
