Broker records

Improperly directed removal of non-public customer information

Failed to supervise short-term trading in syndicate preferred stock, unsuitable recommendations

Failed to conduct independent testing of AML compliance program

Cheated on Series 7 examination by using internet

Willfully failed to timely disclose IRS tax lien on Form U4

Submitted altered customer documents, made unsuitable recommendations causing overconcentration in alternative investments

Converted customer premium payments, created inaccurate records

Failed to supervise variable annuity sales, net capital violations, inaccurate financial reporting

Refused to produce documents and appear for testimony in FINRA investigation

Improperly removed non-public customer information

Borrowed from customers without approval, undisclosed outside business activity, false compliance statements

Mismarked short sale orders, failed to maintain adequate supervisory system for order marking