Disclosure

• 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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• 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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• Apr 25, 2024 Stifel Nicolaus Failed to Detect Unsuitable Recommendations Despite Risk Policy, Says FINRA

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• Feb 8, 2024 Investor Loses $300,000 in Unapproved Securities-Based Loan Strategy

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• Nov 27, 2023 Stephen Takeda Barred During Customer Loans Investigation

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• Aug 6, 2023 LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role

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• Apr 17, 2023 RBC Ordered to Pay $1.1 Million Over Supervision Failures

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