From June 2023 to September 2023, in anticipation of leaving RJA for a new firm, Nevels improperly took confidential and proprietary information from RJA 's systems, including nonpublic information about RJA 's customers, by emailing it to his personal email address, by printing and retaining documents, and by retaining pictures taken of RJA's system. This information was directly relevant to Nevels' new position, and he accessed some of the information after moving to the new firm . This conduct violated RJA 's policies by which he had agreed to abide.

Fiallo 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.

In July 2024, Critcher negligently misrepresented that corporate bonds he recommended to two senior customers were FDIC-insured certificates of deposit. As a result, Critcher’s actions contravened Section 17(a)(2) of the Securities Act of 1933 and thereby violated FINRA Rule 2010. For this conduct, Critcher is suspended for three months, fined $5,000, and required to requalify by examination before acting as a General Securities Representative with any FINRA member.