Broker records

Refused to provide documents about alleged unauthorized discretion excessive trading and unsuitable recommendations

Engaged in fraud by misrepresenting promissory notes made unsuitable recommendations and converted customer funds

Failed to establish and implement reasonable AML policies and procedures and failed to detect and report suspicious activity

Refused to testify about facilitation of customer bitcoin investment away from firm

Refused to produce documents about alleged unauthorized discretionary trading

Failed to timely disclose unsatisfied federal tax lien of $188016.01

Engaged in excessive and unsuitable options trading with short-term expiration dates

Engaged in excessive and unsuitable trading including use of margin

Provided incorrect and misleading account reports to customer

Engaged in excessive and unsuitable trading including margin usage in two customer accounts

Willfully failed to disclose nine felony charges on Form U4

Refused to testify about allegations of involving unregistered person in securities activities