Broker records

Failure to timely file private placement offering documents; preparation of retail communications that were not fair and balanced; misleading implications of FINRA endorsement

Reusing customer signatures on 48 documents and altering six documents after customer signing; falsely attesting on compliance questionnaires

Exercising discretion without written authorization and mismarking solicited trades as unsolicited in marijuana securities

Alleged failure to reasonably supervise registered representatives as Chief Compliance Officer; accused of failing to investigate and respond to red flags of churning, excessive trading, and unsuitable trading resulting in customer losses of $709,444

Refusal to provide documents and information requested by FINRA; alleged failure to timely disclose a pending civil action

Placing unauthorized trades in a customer account after death of the authorized party and misrepresenting trade instructions to member firm

Failure to establish and enforce a supervisory system for suitability obligations involving non-traditional exchange-traded products (NT-ETPs)

Recommending non-traditional exchange-traded products without a reasonable basis; failing to understand the risks and features of recommended products

Inaccurate or missing mark-up/mark-down disclosures on customer confirmations for municipal and corporate debt securities; failure to include required EMMA and TRACE references; failure to maintain adequate supervisory systems

Falsely certifying completion of continuing education requirements for state insurance license renewal

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

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