Broker records

Engaging in an outside business activity without providing prior written notice to member firm

Failing to establish and enforce supervisory systems to detect market manipulation and failing to investigate wash trades

Alleged falsification of FINRA Securities Industry Essentials (SIE) exam score report; accused of providing a falsified passing score to his member firm when he had in fact failed the exam

Willful violation of Regulation Best Interest (Reg BI); failure to establish supervisory systems for Reg BI and Form CRS compliance; failure to timely file private placement documents

Refusal to provide documents and information and to appear for on-the-record testimony; discharged for failing to disclose personal loan transactions with a client

Willful violation of Regulation Best Interest by recommending speculative unrated debt securities unsuitable for retail customers

Drafting and disseminating materially misleading asset verification letters on firm letterhead and failing to disclose outside business activity

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)

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

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

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