Other - Failing to maintain the general ledger, individual ledgers, and bank reconciliation to reflect accurate current balances, and Failing to properly maintain and/or account for Broker's Equity in the Respondent's Trust Account.
Reprimand,
$250 Civil Penalty, and
8 hour iowa Trust Accounts Class
Failing to maintain the general ledger, individual ledgers, and bank reconciliation to reflect accurate current balances, and
Failing to properly maintain and/or account for Broker's Equity in the Respondent's Trust Account.
