Broker records

Failed to supervise business-related text messages; failed to preserve electronic communications; failed to comply with arbitration discovery obligations

Failed to supervise private placement general solicitation; sold securities in violation of Section 5 of Securities Act; misleading communications; failed to provide research coverage termination notice

Structured cash deposits of $58,970 in sub-$10,000 increments to evade Bank Secrecy Act currency transaction reporting requirements

Caused firm to fail to preserve electronic communications and instant messages; made false certification to FINRA regarding record retention access

Failed to supervise speculative bond recommendations to retail customers including seniors; willful Reg BI violation

Failed to establish Reg BI compliance policies and procedures; failed to establish Form CRS supervisory procedures

Exercised unauthorized discretion in 12 customer accounts; effected 46 trades without prior customer consent; false annual compliance questionnaire statements

Expelled 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)

Used misleading aggregated performance metrics in investor communications; failed to report customer complaints; deficient supervisory system for complaint reporting

Refused to provide documents and information in FINRA investigation into borrowing from a securities customer

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