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Solicitation

January 21, 2025 WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts
December 02, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
October 01, 2024 Merrill Lynch Ordered by SEC to Pay $3.8 Million for Complex Trading Strategy's Excessive Fees & Risks
August 01, 2024 Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs
July 15, 2024 Colorado Bars James McGehee Wealth Management for High-Risk Options Recommendations
July 10, 2024 Raymond James' Bryan Noonan & Thomas Reyes Barred After Unapproved Sales
June 13, 2024 Fraudster Greg Lindberg, Owner of Northstar (Bermuda) and Colorado Bankers Life, Guilty of Bribery
May 01, 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