Other - Engaging in practices harmful or detrimental to the public by failing to maintain the general ledger, individual ledgers, and monthly bank reconciliation to reflect accurate balances and failing to maintain an individual ledger for broker’s equity
$1,000 Civil Penalty.
Engaging in practices harmful or detrimental to the public by failing to maintain the general ledger, individual ledgers, and monthly bank reconciliation to reflect accurate balances and failing to maintain an individual ledger for broker’s equity for the trust account.
