Broker records

Falsification of expense reports

Undisclosed outside business activity involving trading algorithm sales

Incomplete response to FINRA investigation

Suspended pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current (suspension subsequently lifted)

Alleged prohibited borrowing from elderly customer with diminished capacity

Inaccurate Rule 606 reporting and inadequate material aspects disclosure

Failure to respond to FINRA requests

Prohibited borrowing from customers and multiple violations

Undisclosed outside securities accounts and false compliance questionnaire

Unsuitable mutual fund trading and circumvention of supervision

Customer protection violations and inadequate mark-up/mark-down disclosure

Undisclosed outside business activity and false compliance attestation