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Feb 13, 2025
Newbridge Securities Fined for Margin Suitability Supervisory Failures & Investor Losses
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Jan 31, 2025
Fidelity Fined for Supervisory Failures After Employee Steals $758,000 From Clients
Read More
Jan 21, 2025
WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts
Read More
Dec 28, 2024
SEC Fines Morgan Stanley $15 Million for Inadequate Supervision Over Failure to Safeguard Customer Funds
Read More
Dec 13, 2024
Paychex Securities' Michael Shoniker Suspended for Sending 401(k) Customers to Outside Firm
Read More
Dec 2, 2024
JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
Read More
Nov 29, 2024
Structured Products' Risk Intensifies with Single Stock Volatility - The Case of the ARKK ETF
Read More
Nov 11, 2024
FINRA Disciplines Marc Barton for Reusing Customer Signatures on New Documents
Read More
Nov 5, 2024
Luis Nin of UBS' Unauthorized Trades in Dead Client's Account Result in Fines, Suspension
Read More
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