Compliance

• Dec 28, 2024 SEC Fines Morgan Stanley $15 Million for Inadequate Supervision Over Failure to Safeguard Customer Funds

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• Dec 13, 2024 Paychex Securities' Michael Shoniker Suspended for Sending 401(k) Customers to Outside Firm

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• Dec 2, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty

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• Oct 25, 2024 Morgan Stanley Broker Robert Daly Barred During Private Securities Transaction Investigation

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• Sep 24, 2024 IFG VP Richard Mireles, Stewart Paxton Ginn Sanctioned in $2.2 Million Churning Scheme

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• Sep 16, 2024 Nationwide Planning Associates Cited for Trying to Prevent Customers from Complaining About Firm to SEC

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• Sep 13, 2024 Stewart Ginn Agrees to Settle Charges of Churning $2.2 Million from IFG Customers

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• Sep 9, 2024 Morgan Stanley Fined $2 Million Over Improper First Republic Trades

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• Aug 1, 2024 Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs

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