Broker records

Violated membership rules by allowing a suspended and statutorily disqualified individual to associate with the firm, created inaccurate books and records, and failed to maintain adequate supervisory system

Failed to appear for on-the-record testimony in investigation regarding allegations of involving unregistered person in activities requiring registration

Failure to appear for testimony regarding excessive trading investigation

Affixing customer signatures on account forms without authorization, causing inaccurate books and records

Impersonating customers during telephone calls to insurance affiliate

Alleged churning, unsuitable recommendations, lack of reasonable basis, false characterization of trades, and false compliance statements

Alleged failure to respond to FINRA investigation regarding churning and flipping elderly customer accounts

Excessive and unsuitable trading in multiple accounts including seniors, and unauthorized discretionary trading

Unauthorized trading in customer account before and after death, and false record entries

Conversion and improper use of bank funds through unauthorized fee reversals

Excessive and unsuitable trading in senior customer account and unauthorized discretionary trading

Participation in undisclosed private securities transactions (selling away) and false compliance attestations