From May 2021 to July 2023, Mack exercised discretion without written authorization in connection with approximately 1,700 trades in 84 customer accounts in violation of FINRA Rules 3260(b) and 2010. For that violation, Mack is suspended for three months in all capacities and fined $10,000.

Between August 2022 and June 2023, while associated with IFP. Rogers impersonated 14 customers during 22 phone calls to his prior firm seeking 10 have his customers' accounts transferred to IFP or transfer funds to the customers' bank accounts. By virtue of this conduct. Rogers violated FINRA Rule 2010 and is suspended in all capacities for 45 days and fined $5,000. conducL Rogers violated FINRA Rule 2010 and is suspended in all capacities for 45 days and fined $5,000.