“In an effort to put off these inquiries, Campbell sent several emails using the email account of a firm principal. In these emails, Campbell made various false statements and submitted fake documentation in an effort to make the transactions appear legitimate,” the court said.
She also intercepted telephone calls from the broker-dealer personnel when they attempted to continue to reach the firm. The complaint said she even used voice-altering software to impersonate one of the firm’s principals when speaking by phone to an anti-money laundering (AML) officer from the broker-dealer, the complaint said.
According to BrokerCheck, Campbell, who holds Series 7 and Series 63 securities licenses, began working in the industry in 2006 with Harold C. Brown & Co. LLC in Buffalo, she moved to Girard Securities Inc. in 2012 and spent less than a year before joining Wells Fargo Advisors. She left in 2015 and was not registered when she joined Pratt Collard Buck Advisory Group.