Broker records

Failed to register or timely register call center personnel

Created false supervisory checklists after receiving FINRA request

Failed to maintain minimum net capital and filed inaccurate reports

Made false statements to obtain unemployment benefits while employed

Refused to appear for on-the-record testimony

Failed to produce documents and testimony regarding loans from clients

Failed to supervise private placement solicitations under Rule 506(b)

Failed to maintain adequate risk management controls and pre-trade order controls for market access business

Possessed and accessed cellular phone during FINRA SIE examination in violation of testing rules

Refused to provide information regarding investigation into undisclosed outside business activity

Refused to produce documents regarding private securities transactions and customer arbitration

Engaged in undisclosed outside business activity as tax preparer and falsely attested to no outside activities