In April 2026, Hale forged his estranged wife's signature on three surrender forms for variable universal life insurance contracts owned by his estranged wife without her knowledge or consent, in violation ofFINRA Rule 2010. Hale also converted $4,538.78 from the surrender proceeds for his own use, in violation ofFINRA Rules 2150(a) and 2010.

From April 2019 through December 2023, Lin effected unauthorized transactions in the variable annuity subaccounts of three customers. As a result, Lin violated FINRA Rule 2010. From January 2023 through December 2023, Lin exercised discretion without prior written authorization in the variable annuity subaccounts of one customer. As a result, Lin violated FINRA Rules 3260(b) and 2010. For these violations, Lin is suspended in all capacities for seven months and fined $10,000.