Broker records

Exercised discretion in customer accounts without written authorization and made false statements on compliance attestations

Engaged in undisclosed outside business activity operating insurance business and continued after firm prohibited it

Authored non-compliant social media posts about investment club and hedge fund including options without proper disclosures or approvals

Negligently failed to disclose issuer's failure to timely file required SEC filings to investors

Willfully failed to timely amend Form U4 to disclose unsatisfied federal tax lien for $56

Refused to appear for testimony regarding potential unauthorized trades and marking solicited trades as unsolicited

Failed to provide information and documents in investigation of undisclosed outside business activities

Refused to provide information regarding compliance policy violations related to fiduciary relationship

Falsified representative codes causing inaccurate trade confirmations and improper commission payments

Failed to establish and maintain adequate supervisory system for margin use suitability

Failed to disclose full nature of outside business activity and exceeded scope of approved activity

Refused to appear for testimony regarding client signature discrepancies on account documentation