Broker records

Violated Rule 4330 by lending customer securities without reasonable basis and without providing compensation

Improperly removed and shared thousands of customer files containing personal information

Accused of failing to cooperate with investigation into alleged misappropriation of family funds

Exercised discretion without written authorization despite previous trade discussions

Accused of willfully failing to disclose felony charge for over two years

Failed to supervise recommendations of alternative investments in violation of Reg BI

Refused to provide testimony about trading activity that triggered surveillance alert

Falsely certified completion of continuing education completed by another person

Engaged in 32 instances of spoofing in U.S. Treasury Securities

Made false attestation enabling $500,000 fraudulent wire transfer

Recommended unsuitable speculative investments resulting in 77% concentration

Received and transferred suspicious funds despite red flags of illegal activity