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Discretionary Trading
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January 21, 2025
WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts
November 05, 2024
Luis Nin of UBS' Unauthorized Trades in Dead Client's Account Result in Fines, Suspension
September 24, 2024
IFG VP Richard Mireles, Stewart Paxton Ginn Sanctioned in $2.2 Million Churning Scheme
September 13, 2024
Stewart Ginn Agrees to Settle Charges of Churning $2.2 Million from IFG Customers
January 30, 2024
JP Morgan's Darren Ting Sanctioned for Unauthorized Discretionary Trading
December 15, 2023
Pursuing Claims Against Theresa Allen of RBC Capital for Unsuitable First Republic Sales
November 16, 2023
Jilena Mok of Edward Jones Sanctioned for Unauthorized Discretionary Trades
October 19, 2023
IFG Broker Stewart Ginn Accused of Churning Elderly Clients, Resulting in $4.5 Million in Losses
