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February 13, 2025
Newbridge Securities Fined for Margin Suitability Supervisory Failures & Investor Losses
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
September 13, 2024
Stewart Ginn Agrees to Settle Charges of Churning $2.2 Million from IFG Customers
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
