Between March 2022 and July 2023, Baine signed or caused a third party to sign the signatures of eight non-securities customers on twenty insurance-related documents without the customers' permission. In so doing, Baine violated FINRA Rule 2010. For this conduct, Baine is suspended for three months and fined $5,000...

In May 2025, Reap failed to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

Putnam refused to provide information and documents requested by FINRA pursuant to FINRA Rule 8210. As a result, Putnam violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

Between September and December 2024, Kunz violated FINRA Rule 2010 by associating with WestPark while subject to a three-month, all capacities suspension from associating with any member firm pursuant to an AWC with FINRA. He also violated Article III, Section 3(b) off FINRA's By-Laws and FINRA Rule 2010 by associating with WestPark while subject to statutory disqualification, resulting from his FINRA suspension and his willful violation of Regulation Best Interest. For these violations, Kunz is suspended in all capacities for seven months and fined $10,000...

In October 2020, Everhart recommended that a retail customer invest in GWG L Bonds, which were speculative, unrated corporate bonds. Everhart's recommendation resulted in at least 40% of the customer's net worth, not including primary residence, being invested in GWG L Bonds. This recommendation was not in the customer's best interest based on her investment profile, and Everhart therefore willfully violated Rule 15/-l(a)(l) under the Securities Exchange Act of 1934 (Reg BI) and violated FINRA Rule 2010.

Between September 2020 and August 2023, Nannicelli circumvented his firm's procedures prohibiting registered representatives or their immediate family members from being named as a beneficiary on a customer's account without the firm's approval. Specifically, Nannicelli assisted a customer with designating Nannicelli's wife and children as beneficiaries on her accounts without approval from the finn. Nannicelli therefore violated FINRA Rule 2010 and is suspended for eight months in all capacities and fined $5,000.

From April 2022 through August 2022, Sapio failed to reasonably supervise two traders who were inaccurately marking the value of positions on their trading books to conceal from Cantor millions of dollars in unrealized losses. For his violations of FINRA Rules 3110 and 2010, Sapio is suspended in all principal capacities for two months, fined $5,000, and required to complete ten hours of continuing education concerning supervisory responsibilities.