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Discipline

March 28, 2024 Stifel Financial Agrees to Pay for Failing to Supervise Brokers Who Allegedly Stole Client Funds, Made Unsuitable Trades
March 14, 2024 Osaic aka SagePoint Financial's David Tall Barred for Unauthorized Promissory Notes
February 08, 2024 Investor Loses $300,000 in Unapproved Securities-Based Loan Strategy
January 30, 2024 JP Morgan's Darren Ting Sanctioned for Unauthorized Discretionary Trading
January 26, 2024 Benchmark Investments Ex-Broker Todd Anderson Barred After Disputed Signature, Unsuitable Recommendations
January 19, 2024 Louis Goff Charged with Fraud for Forex Scheme Resulting in Losses of $2.1 Million
January 17, 2024 WestPark Capital Broker Mitchell Morrison Sanctioned for Unauthorized Private Securities Transactions; WestPark Fined Too
January 12, 2024 Austin Dutton's Unsuitable REIT Recommendations Harmed Customers, Says FINRA