From July 2018 to April 2024, the firm failed to report or inaccurately reported more than 12,000 transactions to the Trade Reporting and Compliance Engine (TRACE) in violation of FINRA Rules 6730 and 2010. Separately, from at least July 2018 to September 2024, the firm violated the Securities Exchange Act of 1934 Rule 10b-10 and FINRA Rules 2232 and 2010 by failing to disclose the price of the security on over 11,000 customer confirmations and violated FINRA Rules 3110 and 2010 by failing to supervise for compliance with trade confirmation disclosure requirements.