Broker records

Willful violation of Regulation Best Interest; unauthorized discretionary trading

Failure to supervise and enforce outside business activity disclosure requirements

Failure to supervise; inadequate systems to detect fraudulent fund transmittals and identity theft

Refusal to cooperate with FINRA investigation; alleged filing of false claims on money movement transactions

Willful failure to timely disclose felony charge on Form U4

Failure to include required mark-up/mark-down information on municipal securities confirmations; inadequate supervision

Failure to disclose expansion of outside business activity; causing inaccurate books and records

Willful violation of Regulation Best Interest through short-term mutual fund switching

Charging unfair and excessive commissions; failure to supervise commission charges

Paying transaction-based compensation to unregistered entity

Failure to supervise customer fund transfers and detect private securities transactions

Maintaining inaccurate books and records by mismarking transactions