Broker records

Falsely certified completion of 15 hours of insurance continuing education that was actually completed by another person

Obtained $250,000 loan from customer without firm notification or approval in violation of FINRA Rule 3240

Engaged in unregistered securities distributions in violation of Section 5 of the Securities Act; failed to verify issuers qualified for Regulation D exemption; inadequate supervisory system

Refused to provide information, documents, and on-the-record testimony requested by FINRA in connection with investigation into potential customer borrowing and crypto asset activity away from member firm

Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)

Failed to disclose mark-up and mark-down information on retail customer confirmations for municipal and corporate debt securities; lacked supervisory system for confirmation disclosure compliance

Sent approximately 2.27 million trade confirmations failing to disclose average pricing for multi-execution orders; failed to reasonably supervise trade confirmation compliance and timely remediate the issue

Willfully violated Regulation BI through excessive trading in customer accounts and willfully failed to disclose written customer complaint on Form U4

Participated in $3 million in private securities transactions without disclosure to or approval from member firm

Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)

Prepared and distributed misleading private placement memorandum with contradictory minimum offering amounts and false escrow account claims; failed to file PPM amendment with FINRA

Engaged in undisclosed outside business activity and falsely denied OBA on firm compliance questionnaire