401(k)

• Dec 13, 2024 Paychex Securities' Michael Shoniker Suspended for Sending 401(k) Customers to Outside Firm

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• Mar 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes

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• Jun 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

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• Apr 27, 2018 Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations

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• Feb 9, 2017 Dion Padilla Sanctioned for Unauthorized, Misrepresented, and Concealed Variable Annuity Purchase

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• Oct 4, 2016 Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account

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• Aug 23, 2016 $150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing

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• Jan 2, 2014 FINRA Warns Firms Against Blind 401(k) to IRA Fund Transfer Recommendations

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• Jan 25, 2013 FINRA's Five Tips for Financial Well Being

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