Broker records

Willful violation of MSRB Rule G-19; sold unsuitable municipal bonds; inadequate due diligence; fraudulent misrepresentations

Willful violation of MSRB Rule G-19; sold unsuitable municipal bonds; fraudulent misrepresentations; inadequate due diligence

Willful violation of MSRB Rule G-19; sold unsuitable municipal bonds; fraudulent misrepresentations; inadequate due diligence

Electronically signing customer names without permission; inaccurate books and records; false compliance attestation

Refusal to appear for on-the-record testimony; Form U5 disclosed discharge after admitting client funds used for personal benefit

Quantitatively unsuitable trading; Regulation BI violation; excessive trading; borrowing from customer without firm approval

Borrowing from customers without firm approval; settling customer complaint without firm knowledge; confidentiality provision in settlement

Charged unfair prices in corporate and municipal bond transactions; failed to establish supervisory system for fair pricing

Refusal to appear for on-the-record testimony related to examination of outside business activities (OBAs)

Unauthorized discretionary trading; use of unapproved communication channel

Refusal to appear for on-the-record testimony; Form U5 disclosed resignation after complaint alleging misappropriation of estate assets

Conducted securities business below net capital requirement; failed to accrue expenses; failed to file Rule 17a-11 notifications; inaccurate books and records