Between November 2024 and January 2025, Harper violated FINRA Rules 3240 and 2010 by borrowing $50,000 from two customers without seeking or obtaining prior written approval from his firm.

Between January 2022 and December 2023, Piper Sandler published public quarterly reports on its handling of customers’ orders in National Market System (NMS) securities that overstated statistical information related to options orders and failed to adequately describe its arrangements for payment for order flow and profit-sharing relationships with certain execution venues.

Between November 2020 and August 2024, while associated with Joseph Stone, Kurtulus held a beneficial interest in two brokerage accounts maintained at other member firms without obtaining prior written consent from Joseph Stone. As a result, Kurtulus violated FINRA Rules 3210 and 2010. For these violations, Kurtulus is suspended for two months in all capacities and fined $2,500...

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