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Suitability

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
June 14, 2024 Fraudster Greg Lindberg, Owner of Northstar (Bermuda) and Colorado Bankers Life, Guilty of Bribery
May 10, 2024 After $13 Million in Penalties for 'Widespread Failure,' Oppenheimer Fined $500,000 for Supervisory and Suitability Gaps
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