Broker records

Refused to cooperate with investigation into allegations of felony fraud and theft

Forged customer signatures and backdated insurance applications

Failed to timely report transactions demonstrating pattern of late reporting

Used unauthorized personal email for customer communications preventing firm record retention

Refused to appear for on-the-record testimony after being discharged by firm

Refused to provide information in investigation alleging conversion of funds

Improperly shared confidential Bank Secrecy Act protected information

Failed to supervise outside brokerage accounts of associated persons

Submitted improper expense claims for personal car service and meals

Willfully failed to disclose felony charge on Form U4

Exercised discretion in customer accounts without written authorization

Disseminated misleading influencer marketing communications