Between March 2019 and May 2026, FCIS failed to review more than 3.5 million emails sent or received by its associated persons. This resulted from failures to load email accounts for new hires into the firm’s email review system, the use of unreasonably narrow search parameters to flag emails for review, and the exclusion of internal emails from the firm’s email review process. As a result, FCIS failed to identify issues such as emails containing reportable customer complaints.

Redeker refused to provide information and documents requested pursuant to FINRA Rule 8210 in connection with an investigation into allegations that Redeker had unlawfully taken jewelry from the homes of a colleague and a firm customer. As a result, Redeker violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.