Broker records

Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement

Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement

Failed to reasonably supervise registered representative's pattern of recommending early UIT sales, causing 184 customers to pay at least $389,200.62 in unnecessary costs

Declined to produce information and documents requested by FINRA in connection with its investigation into irregularities in her Securities Industry Essentials examination

Conducted securities business while failing to maintain minimum required net capital for 16 business days due to misclassification of assets, filed inaccurate FOCUS reports, and failed to timely file deficiency notices

Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement

Suspended pursuant to FINRA Rule Series 9554 for failure to comply with an arbitration award or related settlement or order of restitution

Failed to establish written policies and procedures reasonably designed to achieve Reg BI compliance, and failed to timely file required documents for six private placement offerings

Engaged in outside business activity as board member and treasurer of a for-profit streaming company involving firm customers without providing required prior written notice, and falsely attested in compliance questionnaires

Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement

Failed to timely respond to multiple FINRA Rule 8210 requests for documents and information and failed to maintain reasonable supervisory system to ensure firm compliance with FINRA requests

Failed to timely respond to multiple FINRA Rule 8210 requests for documents and information, requiring FINRA to initiate three expedited proceedings to compel compliance