From October 2020 to March 2023, Follis sent business-related communications to a B. Riley customer using a personal email account that was not disclosed to or approved by his firm. As a result, B. Riley did not supervise or preserve those customer communications. By preventing the firm from preserving business-related communications, Follis violated FINRA Rules 4511 and 2010 and is fined $10,000 and suspended in all capacities for 45 days.

J. Alden violated several regulatory requirements, designed to protect the investing public, relating to its financial operations, reporting, recordkeeping, and supervision, Between November 2021 and May 2024, J.