Broker records

Refused to provide information about receiving client funds and allegedly refusing to return them

Negligently entered trades under incorrect representative code, causing inaccurate books and records and improper commission allocation

Shared in customer losses totaling $249,560 without authorization, made unauthorized loan to customer, and submitted false compliance questionnaires

Willfully violated securities laws by engaging in fraud through material misrepresentations and omissions in bond offerings, failed to conduct reasonable due diligence, and provided false information to FINRA

Refused to provide complete on-the-record testimony in investigation of potential undisclosed private securities transactions

Forged supervisor's signature on new account forms without permission

Excessively and unsuitably traded customer account resulting in 35% annual cost-to-equity ratio and $42,092 in customer losses

Falsified customer account information to circumvent suitability restrictions, overconcentrated customers in high-risk securities, and exercised unauthorized discretion

Shared in customer losses without authorization, engaged in private securities transactions without notice, and used unapproved communication channels

Deceived investors in pre-IPO offering by misrepresenting share availability and price, failed to conduct due diligence, and failed to supervise pre-IPO business

Converted $45,100 from senior citizen customers by using their checks intended for mutual fund investments to purchase shares for a family member

Exercised discretionary trading without written authorization, falsified compliance questionnaires, used personal email for business, and deleted evidence