Discipline

• Feb 13, 2025 Newbridge Securities Fined for Margin Suitability Supervisory Failures & Investor Losses

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• Jan 31, 2025 Fidelity Fined for Supervisory Failures After Employee Steals $758,000 From Clients

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• Jan 21, 2025 WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts

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• 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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• Nov 11, 2024 FINRA Disciplines Marc Barton for Reusing Customer Signatures on New Documents

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• Nov 5, 2024 Luis Nin of UBS' Unauthorized Trades in Dead Client's Account Result in Fines, Suspension

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

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