Cooper refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

From June 30, 2020, through the present, The Logan Group willfully violated Rule 15l-1 under the Securities Exchange Act of 1934 (Regulation Best Interest or Reg BI) and violated FINRA Rules 3110 and 2010 by failing to establish, maintain and enforce written policies and procedures, and a supervisory system, reasonably designed to achieve compliance with the Compliance Obligation of Reg BI. In addition, from March 2021 to the present, the firm failed to reasonably supervise recommendations to purchase and exchange deferred variable annuities.