FINRA

The alleged failures stretched over a two year period, according to the regulator.

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The broker engaged the client in 11 private securities transactions involving private equity and debt securities in companies spanning a wide variety of industries, FINRA alleged.

The duo recommended an investment strategy that was overly concentrated in four speculative equity securities to more than 50 customers, FINRA alleged.

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The bank's retail brokerage business sold customers shares in mutual funds with front- or back-end sales charges when they were eligible for Class A shares that waived the upfront sales load, FINRA claimed.

The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.