Broker records

Suspended pursuant to FINRA Rule Series 9554 for failure to comply with an arbitration award or related settlement or order of restitution

Failed to reasonably investigate and address multiple red flags indicating firm representatives were engaged in excessive trading and churning in violation of Section 10(b) of the Exchange Act

Alleged failure to provide information and documents requested by FINRA in connection with investigation into potential undisclosed outside business activities and private securities transactions

Suspended pursuant to FINRA Rule Series 9554 for failure to comply with an arbitration award or related settlement or order of restitution; suspension lifted May 12, 2026

Effected short sale orders without locating securities available to borrow by improperly claiming the bona fide market making exception in accounts that were no longer used for market making

Barred pursuant to FINRA Rule 9552(h) for failure to provide required information to FINRA or keep registration information current

Barred pursuant to FINRA Rule 9552(h) for failure to provide required information to FINRA or keep registration information current

Suspended pursuant to FINRA Rule 9552(d) for failure to provide required information to FINRA or keep registration information current

Misused $15,000 of firm funds erroneously paid as commissions by transferring them to his personal brokerage account to purchase securities without disclosing the erroneous payment to the firm

Entered non-bona fide limit buy orders in a thinly traded OTC stock while simultaneously selling the same stock from his personal account, creating a false appearance of demand and market activity

Barred pursuant to FINRA Rule 9552(h) for failure to provide required information to FINRA or keep registration information current

Suspended pursuant to FINRA Rule 9552 for failure to provide information to FINRA or keep required registration information current