Compliance

• May 14, 2026 Cambridge Investment Research Fined $200k for Unit Investment Trust (UIT) Supervisory Failures

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• Apr 22, 2026 JP Morgan Fined $3.2 Million for Failing to Supervise Broker; $55 Million Paid Out to Customers Through Multiple Settlements

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• Feb 20, 2026 Inspired Healthcare Capital Files for Bankruptcy, Putting Investors at Risk

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• Dec 19, 2025 Kingswood Capital Partners of San Diego Fined $150,000 Over GWG Holdings Bond Sales

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• Dec 3, 2025 Wedbush Fined $150,000 for Margin Securities & Supervisory Failures, MSRB Mark-Up Disclosure Omissions

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• Dec 1, 2025 LPL Financial's Jacob Harper Cited for False Statements, Undisclosed Accounts & Unauthorized Borrowing

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• Sep 27, 2025 Joseph Kelly of Spartan Capital Securities Cited for Excessive Trading

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• Aug 29, 2025 LPL Financial Broker Brenton Ditto Cited for Selling Complex Product to 95-Year-Old Client

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• Apr 29, 2025 Banyan Securities Censured & Fined for Money Laundering Policy Deficiencies

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