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Brokercheck

May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
April 28, 2021 Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
June 26, 2019 Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
April 01, 2019 Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
November 14, 2018 Michael Scott Livermore Sanctioned for Failing to Report Felonies
October 15, 2018 Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial