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Mutual Funds

January 26, 2024 Benchmark Investments Ex-Broker Todd Anderson Barred After Disputed Signature, Unsuitable Recommendations
January 09, 2024 LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
June 09, 2023 LPL & CUSO Financial Broker Kale KH Young Sanctioned for Falsifying Customer Signatures
April 26, 2023 Todd Anderson Cited for Unsuitable Recommendation That Senior Purchase $1 Million of Mutual Funds
January 15, 2021 Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
September 07, 2018 Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations
April 24, 2019 Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures