Broker records

Refused to produce information and documents requested by FINRA in investigation into fraudulent insurance claims, fraudulent expense reimbursements, and forging birthdates on applications

Refused to provide information, documents, and testimony requested by FINRA in investigation into misappropriation of customer funds

Refused to provide documents and information requested by FINRA in investigation into borrowing money from a client

Providing undisclosed property management services to firm customers as outside business activity

Suspended for failure to comply with an arbitration award pursuant to FINRA Rule 9554

Violations of Regulation NMS Rules 605 and 606; inaccurate order routing and execution reports

Refused to appear for on-the-record testimony requested by FINRA in connection with investigation into circumstances of termination

Participating in unapproved private securities transactions raising $2.45 million

Failure to report short interest positions to FINRA for nearly two years

Failure to supervise unsuitable VRSP recommendations and concentration levels

Engaging in multiple undisclosed outside business activities

Multiple failures including supervisory deficiencies, Reg BI compliance, misuse of material non-public information, and Exchange Act violations