From July 2023 to August 2025, Anguiano converted a total of $1,731,000 from two LPL customers in violation of FINRA Rules 2150(a) and 2010. As a result, Anguiano is barred from associating with any FINRA member in all capacities.

Between January 2018 and April 2024, Haywood failed to accurately compute its required customer reserve, as required by Section 15(c)(3) of the Securities Exchange Act of 1934 and Exchange Act Rule 15c3-3, resulting in at least 36 hindsight deficiencies. The firm's inaccurate customer reserve computations also caused the firm to maintain inaccurate books and records.