Broker records

Opened outside brokerage account without firm consent and made false statements on account application

Failed to timely and completely produce phone records in regulatory investigations and failed to preserve responsive documents

Published inaccurate Rule 605 order execution reports and failed to maintain adequate supervisory procedures

Forged customer and colleague signatures on Transfer Report Service Responsibility Forms

Refused to produce information and appear for testimony in investigation of conversion active trading loans and undisclosed outside business activities

Took FINRA Series 7 examination while possessing prohibited study materials and electronic device

Failed to reasonably supervise variable annuity exchanges resulting in over $227000 in surrender charges and failed to supervise email communications

Failed to investigate red flags and supervise fund transfers related to undisclosed outside business activities

Engaged in excessive and unsuitable trading in senior customer accounts with turnover rates up to 19.26 and cost-to-equity ratios up to 74.25 percent

Failed to maintain accurate net capital records and timely respond to FINRA requests

Refused to provide information and documents to FINRA investigating potential misappropriation of client funds

Failed to reasonably supervise variable annuity exchanges resulting in customers incurring over $71000 in surrender charges