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Communications

December 13, 2024 Paychex Securities' Michael Shoniker Suspended for Sending 401(k) Customers to Outside Firm
December 02, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
October 25, 2024 Morgan Stanley Broker Robert Daly Barred During Private Securities Transaction Investigation
September 24, 2024 IFG VP Richard Mireles, Stewart Paxton Ginn Sanctioned in $2.2 Million Churning Scheme
September 16, 2024 Nationwide Planning Associates Cited for Trying to Prevent Customers from Complaining About Firm to SEC
September 13, 2024 Stewart Ginn Agrees to Settle Charges of Churning $2.2 Million from IFG Customers
September 09, 2024 Morgan Stanley Fined $2 Million Over Improper First Republic Trades
August 01, 2024 Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs