Broker records

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

Willfully violated Reg BI Care Obligation by recommending unsuitable structured notes with no principal protection to two retirees with low risk tolerances and short-term liquidity needs

Willfully violated Reg BI by recommending speculative unrated corporate bonds to five retail customers including four seniors based on an unverified and inaccurate understanding of the bonds' underlying assets

Failed to maintain supervisory system for manipulative trading surveillance and failed to supervise misleading customer communications about private placements

Failed to act on thousands of supervisory alerts, suppressed margin call notices, and changed customer risk tolerances without authorization, resulting in over $55 million paid to harmed customers

Negligently converted 11 customer advisory accounts to brokerage accounts without disclosure, causing customers to incur $30,201.52 in commissions, and exercised unauthorized discretion in those accounts

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

Suspended pursuant to FINRA Rule 9552(d) 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

Failed to establish supervisory system for variable annuity exchanges involving guaranteed lifetime withdrawal benefit riders, causing 114 customers to pay an average of $8,718.86 in unnecessary incremental costs

Prepared and disseminated three proof of funds letters containing materially false statements about a customer's available funds without firm approval