Beginning in 2018, Tigress onboarded hundreds of new customers domiciled in high-risk foreign jurisdictions. From January 2018 to March 2022, Tigress’s anti-money laundering (AML) compliance program was not reasonably designed to detect and report suspicious transactions given this new business line. In addition, from May 2018 to May 2020, Tigress did not disclose the mark-up or mark-down on over 2,000 customer confirmations or reasonably supervise for compliance with its customer confirmation obligations.

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

Cannon refused to appear for on-the-record testimony in response to a FINRA Rule 8210 request on January 24, 2025. Therefore, Cannon violated FINRA Rules 8210 and 2010. For that violation, Cannon is barred in all capacities...

Caldwell refused to provide documents and information 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 April 2009 to at least May 2023, NFS failed to timely transfer over 5,600 Unit Investment Trusts (UITs) through the Automated Customer Account Transfer Service (ACATS), and it further failed to transfer approximately 4,000 of those UITs in kind, as customers had instructed.