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Jan 30, 2026
Jonathon Webster, Formerly of Stifel Nicolaus, Suspended for Illicit Trade Recommendations to Senior Customers
Read More
Feb 15, 2024
Anaheim's Centaurus Financial Tops SLCG List of Riskiest Brokerage Firms for 2024
Read More
Nov 16, 2023
Jilena Mok of Edward Jones Sanctioned for Unauthorized Discretionary Trades
Read More
Jan 31, 2018
FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
Read More
Oct 25, 2017
SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
Read More
