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Confidentiality

January 30, 2023 SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
February 25, 2019 John Spach Barred for Trying to Settle Complaint Away from Firm
July 26, 2018 National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct
February 18, 2021 Andrew Perona Sanctioned for Taking Clients' Personal Information to New Firm Without Consent
June 19, 2020 Quinn Campbell Disciplined for Removing MetLife Customers' Private Info
March 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
December 05, 2019 Eugene Gordon Cited for Allowing Wife's Unauthorized Withdrawals From Morgan Stanley Client's Account
March 14, 2018 Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations