Broker records

Failure to supervise customer complaint reporting via FINRA Rule 4530 and Form U4/U5 amendments; failure to supervise millions of mutual fund purchases due to data filter error resulting in excessive sales charges

Willful violation of Reg BI through excessive trading of customer accounts; unauthorized discretionary trading; trading not in customers' best interests

Failure to establish supervisory system to detect potentially manipulative wash trading and prearranged trading; deficient third-party automated surveillances; failure to review surveillance alerts

Refusal to appear for on-the-record testimony during investigation into personal automobile loan application and undisclosed outside business activity

Excessive and unsuitable trading of a senior customer account; exercising de facto control; high-frequency in-and-out trading

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

Failure to use the No Remuneration (NR) indicator on TRACE reports; inadequate supervisory review process that reviewed pre-reporting data instead of actual submitted reports

Refusal to produce information and documents requested by FINRA; discharged for making unauthorized charges to a customer's affiliate bank credit card for personal use

Failure to provide documents and information requested by FINRA during an investigation; failure to cooperate with a FINRA investigation

Making false statements to FINRA in response to an information request in connection with a Reg CF offering

Falsely certifying completion of continuing education; another person completed required continuing education on her behalf

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