On February 27, 2024, while associated with J.P. Morgan, Slattery cheated on the North American Securities Administrators Association Series 66 Uniform Combined State Law Exam. As a result, Slattery violated FINRA Rule 2010 and is barred from associating with any FINRA member in all capacities.

Between April 2022 and May 2023, while registered with FINRA, Miro engaged in an outside business activity without providing prior written notice to BMO. As a result, Miro violated FINRA Rules 3270 and 2010 and is suspended for 3 months and fined $5,000.

Since at least August 2020, Young America has failed to develop and implement a written anti-money laundering (AML) program reasonably designed to achieve compliance with the requirements of the Bank Secrecy Act (BSA) and its implementing regulations. Specifically, the firm failed to establish and implement policies and procedures that could be reasonably expected to detect and cause the reporting of suspicious transactions. As a result, Young America violated FINRA Rules 3310(a), 3310(f)(ii) and 2010.

Kosmaczewski refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010...