Tammara Lynne Collins (CRD #5692627, Carlsbad, California) submitted an AWC in which she was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 business days. Without admitting or denying the findings, Collins consented to the sanctions and to the entry of findings that she affixed a customer’s initials, signed her name and/or changed the dates on documents related to annuity purchases. The findings stated that during this time, Collins’ member firm’s procedures prohibited signing a customer’s name or initials except under certain circumstances, and prohibited changing the dates after the client has signed a document.  The suspension was in effect from October 6, 2014, through October 31, 2014. (FINRA Case #2011028519701)