Broker records

Violations of FINRA Rules 2210, 2010, 3110, 4511 and Exchange Act rules; failure to supervise social media influencer communications; misleading marketing

Refused to provide information to FINRA regarding alleged outside business activities and beneficial interest in customer accounts

Sent inaccurate trade confirmations with wrong capacity and solicitation status; failed to deliver trade confirmations; failed to send DRIP trade confirmations; violated Regulation T by extending improper credit; failed to establish supervisory system for trade confirmation compliance

Options application review system not reasonably designed; failed to detect materially inconsistent customer information; approved over 1,288 customers for advanced options trading despite red flags about experience levels

Falsified continuing education certification to New York State by having another person complete required coursework on his behalf

Possessed unauthorized materials (cell phone) while taking SIE exam via remote testing; repeatedly accessed information on cell phone during exam despite attesting to follow Rules of Conduct

Filed inaccurate and untimely FOCUS reports; maintained inaccurate books and records; miscalculated aggregate indebtedness and net capital; failed to establish supervisory system for net capital computation and reporting

Operated securities business while below minimum required net capital; misclassified non-allowable assets; filed inaccurate FOCUS reports; failed to file Net Capital Deficiency Notices

Falsified life insurance applications and forged electronic signatures without customer knowledge or consent; attempted to settle customer complaints away from firm by mailing personal checks

Exercised discretionary authority without written customer authorization or firm acceptance; failed to disclose full nature of outside business activities including roles as manager consultant and incorporator for accounting company clients

Failed to establish reasonable financial risk management controls and supervisory procedures to prevent entry of orders exceeding pre-set capital thresholds and erroneous orders

Exercised discretion in customer accounts including seniors without written authorization or firm permission; falsely attested in compliance questionnaires regarding discretionary trading authority