Broker records

Refused to testify regarding allegations of making electronic fund transfers with insufficient funds

Refused to testify regarding discharge for applying signatures on insurance forms without customer consent

Accused of failing to provide information to FINRA regarding alleged personal use of corporate credit card

Accused of failing to provide information and testimony regarding alleged unsuitable recommendations to senior customer and off-channel communications

Accessed unauthorized materials during Series 66 examination including note on leg and personal cellphone

Filed untimely and inaccurate Regulation M notifications, inadequate supervisory system for FINRA Rule 5190 compliance

Failed to supervise electronic signature processes, allowing representatives to forge customer signatures

Refused to provide information and testimony regarding firm's net capital compliance after initially cooperating

Willfully filed false Form U4 failing to disclose felony charge and bankruptcy

Made unsuitable recommendation violating Regulation BI by recommending speculative bonds to moderate risk tolerance customer

Refused to provide on-the-record testimony to FINRA

Failed to calculate customer reserve requirement accurately, filed inaccurate FOCUS reports, inadequate supervisory system