Broker records

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

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

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

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

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

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

Failure to fingerprint and screen 3,980 non-registered associated persons for statutory disqualification; failure to maintain required fingerprint records; inadequate written supervisory procedures

Failing to obtain prior written consent to open and maintain an outside personal securities account; inaccurately certifying on annual compliance certification

Making promissory, unwarranted, and exaggerated claims in customer email communications; omitting key risks; communications not fair and balanced

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

Excessive and unsuitable trading of a senior customer account; recommending high-frequency in-and-out trading inconsistent with customer risk tolerance

Engaging in an outside business activity without prior written notice to or approval from member firm; failing to disclose OBA on compliance questionnaire