Broker records

Failed to disclose underwriting compensation and timely file required documents, inadequate supervisory system for FINRA Rule 5110 compliance

Falsely certified completion of insurance continuing education when another person completed it on his behalf

Engaged in outside business activities as marketing affiliate and e-commerce business owner without firm notice

Falsely certified completion of insurance continuing education when another person completed it on her behalf

Failed to supervise excessive and unauthorized trading, failed to report customer complaints

Refused to provide information regarding alleged undisclosed outside business activity

Failed to supervise excessive trading in customer accounts including seniors, violated telemarketing rules

Falsely certified completion of insurance continuing education when another person completed it on his behalf

Conducted securities business while below minimum net capital, failed to file required notices, maintained inaccurate books and records

Refused to provide information regarding failure to disclose a lien

Used unapproved messaging app for business communications, borrowed from customer without approval, attempted to settle complaint without firm knowledge

Refused to testify regarding felony charge disclosure