Broker records

Engaging in undisclosed outside business activities and false compliance attestations

Using unapproved social media platform for securities business communications

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

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

AML program failures including inadequate CIP and CDD procedures; failure to supervise VRSP recommendations

Refused to appear for on-the-record testimony requested by FINRA in connection with a fraud investigation

Refused to cooperate with FINRA investigation into obtaining loans from clients and making misrepresentations on annual certifications

Making promissory and unwarranted statements predicting stock performance

Willful violation of Reg BI and negligent misrepresentations about bond investments

Engaging in securities activities without required registration while a foreign associate

Improperly sending and retaining nonpublic customer personal information

Unsuitable REIT recommendations to 16 customers including seniors; falsified books and records; misleading customer communications