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February 13, 2025
Newbridge Securities Fined for Margin Suitability Supervisory Failures & Investor Losses
January 31, 2025
Fidelity Fined for Supervisory Failures After Employee Steals $758,000 From Clients
January 21, 2025
WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts
December 28, 2024
SEC Fines Morgan Stanley $15 Million for Inadequate Supervision Over Failure to Safeguard Customer Funds
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
November 11, 2024
FINRA Disciplines Marc Barton for Reusing Customer Signatures on New Documents
November 05, 2024
Luis Nin of UBS' Unauthorized Trades in Dead Client's Account Result in Fines, Suspension
