Broker records

Improperly deleted expiring OTC options from LOPR reports and failed to maintain adequate supervisory system, despite previous discipline for same issue

Failed to exercise due diligence for options approval, recommended unsuitable options transactions resulting in customer losses, and failed to enforce supervisory procedures

Failed to timely report transactions to TRACE and failed to maintain reasonable supervisory system for transaction reporting

Refused to appear for testimony about relationship with former client, including potential receipt of cash gifts

Refused to provide information about termination related to failure to address questions about personal homeowner's insurance claim

Excessively traded customer accounts causing collective losses of $246,327 and trading costs of $244,645 including $222,692 in commissions

Refused to provide information and documents regarding allegation of undisclosed outside business activity

Refused to appear for testimony about termination for transmitting unprofessional images to firm email in violation of conduct standards

Falsified SIE exam score report to indicate passing grade, provided false statements to firm and FINRA about the alteration

Converted at least $25,000 from member firm by submitting falsified expense reports that overstated reimbursable event expenses

Impersonated customer during telephone calls with insurance company, after prior FINRA warning that such conduct violates rules

Participated in private securities transaction involving $3.5 million customer investment without providing prior written notice to firm, and falsified compliance questionnaire