In September 2026, Aldaz refused to produce information and documents requested pursuant to FINRA Rule 8210. As a result, Aldaz violated FINRA Rules 8210 and 2010 and is barred in all capacities from associating with any FINRA member.

In January 2024, Robertson recommended that one retail customer invest over 25% of her liquid net worth in an illiquid, private fund that used investor money to buy interests in other funds that made investments in residential real estate. This recommendation was not in the customer’s best interest, and Robertson therefore willfully violated Rule 15l-1(a)(1) under the Securities Exchange Act of 1934 (Reg BI) and violated FINRA Rule 2010.

From at least February 2023 through August 2024, Gunnar violated Regulation Best Interest (Reg BI) and FINRA Rules 3110 and 2010 by failing to establish, maintain, and enforce a reasonable supervisory system, including written policies and procedures, to achieve compliance with Reg BI's Care Obligation, as that rule relates to excessive trading. For these violations, Gunnar is censured and fined $100,000...