Broker records

Failed to supervise research analyst trading in external managed accounts; failed to restrict trading in covered securities; failed to disclose research analyst financial interests; failed to disclose affiliate compensation in equity research reports

Executed unauthorized trades and facilitated unauthorized withdrawals from deceased customer account; failed to submit death certificate for 14 months; nine sales totaling $129972.03 and eight withdrawals totaling $84669.87

Accepted deposits and liquidated low-priced securities in violation of business line suspension; failed to implement independent consultant recommendations; falsely certified compliance; failed to develop adequate AML program; failed to detect suspicious activities including pump-and-dump schemes; failed to supervise low-priced securities business; willfully failed to retain records of unapproved communications

Accepted deposits and liquidated low-priced securities in violation of business line suspension; failed to implement independent consultant recommendations; falsely certified compliance; failed to develop adequate AML program; failed to detect suspicious activities; failed to supervise low-priced securities business; willfully failed to retain records of unapproved communications

Negligently failed to inform investors that issuer failed to make timely SEC filings including audited financial statements; sold $300,000 in limited partnership interests without disclosing material information

Willfully violated Regulation Best Interest by failing to establish written policies and procedures; failed to comply with Form CRS requirements; deficient written supervisory procedures

Borrowed approximately $190000 from customer through multiple loans without firm notice or approval in violation of FINRA Rule 3240; customer was not immediate family or in lending business; loans not memorialized in writing

Failed to preserve business-related text messages; failed to supervise text messaging; failed to conduct reasonable due diligence reviews of private placement offerings; deficient written supervisory procedures

Caused firm to maintain inaccurate books and records

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

Willful violation of Regulation Best Interest by recommending excessive transactions in retail customer account resulting in over $28000 in commissions in 11 months

Falsified electronic signatures of customers including seniors on account documents; falsely attested in compliance questionnaires; caused firm to maintain inaccurate books and records