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Conflict of Interest

Most Recent Posts in Conflict of Interest

Jan 21, 2025 WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts
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Dec 28, 2024 SEC Fines Morgan Stanley $15 Million for Inadequate Supervision Over Failure to Safeguard Customer Funds
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Dec 13, 2024 Paychex Securities' Michael Shoniker Suspended for Sending 401(k) Customers to Outside Firm
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Dec 2, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
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Oct 25, 2024 Morgan Stanley Broker Robert Daly Barred During Private Securities Transaction Investigation
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Sep 24, 2024 IFG VP Richard Mireles, Stewart Paxton Ginn Sanctioned in $2.2 Million Churning Scheme
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Sep 16, 2024 Nationwide Planning Associates Cited for Trying to Prevent Customers from Complaining About Firm to SEC
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Sep 13, 2024 Stewart Ginn Agrees to Settle Charges of Churning $2.2 Million from IFG Customers
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Sep 9, 2024 Morgan Stanley Fined $2 Million Over Improper First Republic Trades
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