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Elder Abuse

August 01, 2024 Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs
March 28, 2024 Stifel Financial Agrees to Pay for Failing to Supervise Brokers Who Allegedly Stole Client Funds, Made Unsuitable Trades
February 22, 2024 Morgan Stanley Broker Stole $3.5 Million from Clients, According to SEC, Arrested for Elder Exploitation
October 19, 2023 IFG Broker Stewart Ginn Accused of Churning Elderly Clients, Resulting in $4.5 Million in Losses
September 11, 2020 Stifel Nicolaus Broker Steven Rodemer to Pay $385,536 to Settle SEC Claims He Scammed Elderly Widow
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
January 07, 2019 John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud
June 18, 2019 Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client