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January 26, 2024
Benchmark Investments Ex-Broker Todd Anderson Barred After Disputed Signature, Unsuitable Recommendations
January 30, 2023
SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
December 30, 2021
Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
March 29, 2019
JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
June 09, 2017
FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
November 16, 2016
John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer
July 27, 2016
FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation
May 05, 2016
FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away
