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SEC

September 16, 2024 Nationwide Planning Associates Cited for Trying to Prevent Customers from Complaining About Firm to SEC
August 30, 2024 Drive Planning CEO Russell Burkhalter Accused of $300 Million Ponzi Scheme
August 27, 2024 SEC Fines Ameriprise, LPL Financial, Raymond James & Others $394 Million for Improper Texting, Off-Channel Communications
February 22, 2024 Morgan Stanley Broker Stole $3.5 Million from Clients, According to SEC, Arrested for Elder Exploitation
January 19, 2024 Louis Goff Charged with Fraud for Forex Scheme Resulting in Losses of $2.1 Million
July 14, 2023 Alleged Ponzi Scheme Broker at Western International Barred Amidst Alleged Fraud, Unauthorized GWG Holdings Sales
June 20, 2023 LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client
February 10, 2023 Centaurus Financial Penalized $1 Million for Unsuitable Structured Product Sales