Broker records

Engaged in undisclosed outside business activity and provided false information and fictitious documents to member firm

Failed to establish reasonable supervisory system for electronic communications; WSPs lacked guidance on email review responsibilities, frequency, criteria, and escalation procedures

Over-tendered shares in partial tender offer in violation of Rule 14e-4 of the Securities Exchange Act; failed to have supervisory system for compliance with tender offer rules

Possessed and accessed unauthorized study materials during Series 7 qualification exam

Negligent material misrepresentations and omissions to investors in private placement offerings in violation of Securities Act Section 17(a)(2)

Caused member firm to maintain inaccurate books and records by mischaracterizing solicited trades as unsolicited

Forged or falsified electronic signatures of customers including seniors on account documents and falsely attested on compliance questionnaires

Failure to provide information pursuant to FINRA Rule 9552(h) resulting in bar

Failure to provide information pursuant to FINRA Rule 9552(h) resulting in bar

Engaged in outside business activity without prior written notice and continued activity after firm rescinded approval

Failure to comply with arbitration award pursuant to FINRA Rule Series 9554

Failure to comply with arbitration award pursuant to FINRA Rule Series 9554