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Penny Stocks

March 28, 2024 Stifel Financial Agrees to Pay for Failing to Supervise Brokers Who Allegedly Stole Client Funds, Made Unsuitable Trades
July 02, 2019 Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
April 10, 2019 Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct
March 14, 2019 Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud
February 20, 2019 Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud
September 10, 2018 Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme
July 19, 2018 Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme
December 30, 2021 Wedbush Securities to Pay $1.2 Million Over Unregistered Microcap Sales