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Jan 21, 2025
WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts
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Dec 2, 2024
JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
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Oct 1, 2024
Merrill Lynch Ordered by SEC to Pay $3.8 Million for Complex Trading Strategy's Excessive Fees & Risks
Read More
Aug 1, 2024
Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs
Read More
Jul 15, 2024
Colorado Bars James McGehee Wealth Management for High-Risk Options Recommendations
Read More
Jul 10, 2024
Raymond James' Bryan Noonan & Thomas Reyes Barred After Unapproved Sales
Read More
Jun 13, 2024
Fraudster Greg Lindberg, Owner of Northstar (Bermuda) and Colorado Bankers Life, Guilty of Bribery
Read More
May 1, 2024
FINRA Barred Former Independent Financial Group (IFG) Broker Brett Arthur Hartvigson of San Diego, California for Refusing to Cooperate With Its Investigation Into Allegations That Were Part of a Complaint. In 2021, While Associated With IFG, Brett Harvgi
Read More
Apr 25, 2024
Stifel Nicolaus Failed to Detect Unsuitable Recommendations Despite Risk Policy, Says FINRA
Read More
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