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Fees

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
July 15, 2024 Colorado Bars James McGehee Wealth Management for High-Risk Options Recommendations
July 10, 2024 Raymond James' Bryan Noonan & Thomas Reyes Barred After Unapproved Sales
May 01, 2024 FINRA barred former Independent Financial Group (IFG) broker Brett Arthur Hartvigson of San Diego, California for refusing to cooperate with its investigation into allegations that were part of a complaint. In 2021, while associated with IFG, Brett Harvgi
April 25, 2024 Stifel Nicolaus Failed to Detect Unsuitable Recommendations Despite Risk Policy, Says FINRA
March 14, 2024 Osaic aka SagePoint Financial's David Tall Barred for Unauthorized Promissory Notes
February 15, 2024 Anaheim's Centaurus Financial Tops SLCG List of Riskiest Brokerage Firms for 2024