Broker records

Communicated with customers via personal text and email, then refused to produce communications to FINRA

Served as executor of customer estate without disclosure and made false compliance statements

Negligently failed to disclose material information about delayed financial statements

Refused to provide information about customer's disputed signature on fixed annuity application

Refused to provide information in response to investigation from another regulator's filing

Discharged for undisclosed outside business activities and refused to testify

Refused to provide information about IRA liquidation recommendation without tax disclosure

Placed unauthorized trades in deceased customer's non-discretionary account

Exercised unauthorized discretion in volatile security and used unapproved communications

Negligently failed to disclose fund fees, changes, and consulting agreements to investors

Alleged payment of $900,000 in commissions to unregistered person engaging in securities activities

Failed to establish supervisory system to detect fraudulent trading practices