Broker records

Engaged in unapproved jewelry sales and undisclosed private securities transactions involving jewelry investments

Engaged in commission-sharing arrangement not reflected on firm books and records

Engaged in undisclosed outside business activity made false statements and misappropriated customer information

Refused to provide information about alleged misappropriation of client funds and unsuitable recommendations

Executed unauthorized securities transactions and misrepresented firm identity and job title

Made reckless misrepresentations on Small Business Administration Economic Injury Disaster Loan application

Converted $44170 in charitable donations intended for pediatric cancer charity

Failed to comply with escrow requirements and willfully violated Rule 10b-9 regarding contingency offerings

Failed to investigate excessive trading by representatives and failed to review representative emails

Made reckless misrepresentations on Small Business Administration loan application

Forged customer signature on life insurance application

Maintained outside securities accounts without firm consent and falsely attested he had no such accounts