Broker records

Unethically caused senior customer to name him as beneficiary in will for over $5 million and concealed conduct from firm

Engaged in undisclosed outside business activities through new company after firm denied initial OBA request

Alleged churning of customer accounts causing $1.6 million in costs and $1.1 million in losses

Converted $50000 in customer funds intended for law firm retainer

Exercised discretion in customer accounts without written authorization

Engaged in undisclosed outside business activities and private securities transactions

Failed to establish adequate supervisory system to detect potentially manipulative trading activity

Failed to ensure intermarket sweep orders met Regulation NMS requirements and inadequate supervision

Made unsuitable recommendations of high-risk illiquid securities to senior customers and failed to conduct reasonable investigation

Refused to appear for on-the-record testimony regarding potential Form U4 disclosure failures and false continuing education documents

Cheated on qualification examination by writing information on license and hand and using unmonitored area during break

Excessively traded customer accounts and exercised unauthorized discretion