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August 06, 2023
LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role
August 01, 2018
Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions
January 17, 2020
Citigroup, YieldStreet Plans Risky Hedge Fund Product for Retail Customers
July 13, 2017
Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme
May 04, 2017
FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse
February 12, 2016
FINRA bars brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP.
June 25, 2014
FINRA Bars Dale Herman Stevens for Serving on Hedge Fund Board without Disclosing Financial Interest to Firm
March 25, 2014
LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales
