Bad Broker

The complaint also alleges Blankenship caused his firm to maintain inaccurate books and records by mismarking mutual fund purchases as unsolicited when he actually solicited these investments. These are allegations in an unadjudicated complaint

Alleged unsuitable mutual fund trading, missing breakpoints, and circumventing firm supervision

My Bad Broker

and no findings have been made. However

and deliberately evading firm supervision."

the allegations describe serious misconduct including depriving customers of breakpoints,

unsuitable short-term trading,