Broker records

Refused to provide information after CFP Board permanently barred him for alleged exam misconduct

Participated in unapproved private securities transactions totaling $1

Recommended unsuitable and excessive trades in customers' accounts resulting in high costs

Overstated advertised trading volume by approximately 147 million shares due to technology flaws

Failed to reasonably supervise representatives who violated Plan of Solicitation policy

Failed to timely report TRACE transactions, misapplied indicators, and submitted inaccurate reports

Engaged in outside business activity as company part owner without firm knowledge or approval

Exercised discretionary trading authority without written authorization from customers and firm

Published inaccurate Rule 606 reports on order routing and maintained inadequate supervisory system

Converted firm funds

Refused to provide testimony regarding trading in customer accounts including foreign currency and margin use

Forged customer signatures on account opening documents and variable annuity applications