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December 02, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
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
April 25, 2024 Stifel Nicolaus Failed to Detect Unsuitable Recommendations Despite Risk Policy, Says FINRA
February 08, 2024 Investor Loses $300,000 in Unapproved Securities-Based Loan Strategy
November 27, 2023 Stephen Takeda Barred During Customer Loans Investigation
August 06, 2023 LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role