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Commissions

December 01, 2023 Stifel Nicolaus Broker Chuck Roberts Accused of Securities Fraud Resulting in Multi-Million Dollar Damages
October 24, 2023 Daniel King Cited for Unsuitable Recommendations on Margin Resulting in Damages
October 19, 2023 IFG Broker Stewart Ginn Accused of Churning Elderly Clients, Resulting in $4.5 Million in Losses
October 14, 2023 Christopher Kennedy Churned and Excessively Traded Western International Securities Accounts Resulting in Multi-Million Dollar Losses, According to FINRA
October 06, 2023 Western International's Megurditch Patatian Loses Unsuitable REIT Recommendations Appeal
September 23, 2023 Best Interest Rule Violation Cited in Unsuitable REIT Recommendation and Overconcentration
September 22, 2023 Stifel Nicolaus Facing Massive Controversy, $24.5 Million Damages Claims, Over Unsuitable Structured Product Sales
July 14, 2023 Alleged Ponzi Scheme Broker at Western International Barred Amidst Alleged Fraud, Unauthorized GWG Holdings Sales