Brokercheck

• Feb 22, 2024 Morgan Stanley Broker Stole $3.5 Million from Clients, According to SEC, Arrested for Elder Exploitation

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• Dec 1, 2023 Stifel Nicolaus Broker Chuck Roberts Accused of Securities Fraud Resulting in Multi-Million Dollar Damages

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• Nov 27, 2023 Stephen Takeda Barred During Customer Loans Investigation

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• Jan 14, 2022 Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers

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• Oct 19, 2021 Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages

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• May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures

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• Apr 28, 2021 Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements

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• Feb 11, 2021 FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses

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• Jan 27, 2021 George Magladry Suspended for Failing to Disclose Felony Charges

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