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2019063686213 Daniel Todd Lerner CRD 1255769 AWC gg (2025-1750378806902).pdf

In March 2019, Lerner recommended that a customer invest in an illiquid, proprietary limited partnership without having a reasonable basis to believe that the investment was suitable for the customer based on her investment profile. For his violation of FINRA Rules 2111 and 2010, Lerner is suspended in all capacities for two months and fined $5,000.

2020065108002 Calton & Associates, Inc. CRD No. 20999 AWC gg (2025-1750378806669).pdf

Between May 14, 2018 and April 2021, Calton violated MSRB Rule G-15 and FINRA Rules 2232 and 2010 by failing to disclose required mark-up and mark-down information on hundreds of retail customer confirmations. Between July 2018 and May 2022, the firm violated MSRB Rule G-14 by failing to report the correct time of trade to the MSRB's Real-Time Transaction Reporting System (RTRS) for more than 7,800 municipal securities transactions and FINRA Rules 6730 and 2010 by failing to report the correct time of execution to TRACE for more than 1,000 securities transactions.

2022073342401 AAG Capital, Inc. CRD 188 AWC gg (2025-1750378806770).pdf

From February 2021 through the present, AAG Capital failed to establish and maintain written policies and procedures and a supervisory system reasonably designed to comply with Securities Exchange Act of 1934 Rule 15l-1 (Regulation Best Interest or Reg BI) for recommendations to retail customers regarding registered index-linked annuities (RILAs).