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Hedge Fund

December 02, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
August 06, 2023 LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role
January 17, 2020 Citigroup, YieldStreet Plans Risky Hedge Fund Product for Retail Customers
August 01, 2018 Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions
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