Broker records

Failed to reasonably supervise representative under heightened supervision who excessively traded senior investor accounts

Refused to provide information about alleged use of client line of credit for personal benefit

Engaged in excessive and unsuitable trading in elderly customer account using margin

Willfully failed to disclose felony criminal charges and refused to cooperate with FINRA investigation

Failed to establish and enforce supervisory system to prevent excessive trading

Engaged in unapproved private securities transactions selling equity in company he owned and served as board member

Failed to establish and enforce supervisory system for NT-ETPs and complex options trading

Engaged in undisclosed outside business activities and provided false information to FINRA about compensation for customer referrals

Participated in private securities transactions without approval engaged in undisclosed outside business activity and made false statements

Made negligent misrepresentations and omissions in connection with sale of parent company promissory notes

Failed to immediately display route execute or cancel customer OTC limit orders

Refused to testify about undisclosed outside business activities and private securities transactions