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The investment advisor representative (IAR) was terminated for violations of the Firm's written policies and procedures, including its Code of Ethics. Based on evidence available, the Firm's investigation concluded that Mr. Wallace violated the Duty of Care as a Fiduciary under the Advisors Act for failing to conduct a reasonable investigation into investment products sold to clients, and providing investment advice and transacting securities that are not in the best interest of clients. Furthermore, the Firm's investigation determined that Mr. Wallace violated Exchange Act provisions that broadly prohibit deceptive practices, omissions of material facts and untrue statements in connection with the purchase and sale of securities products.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.