Disclosure

Posts In Disclosure

Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages Oct 19
With nearly $1.8 million in settlements and judgments to his name, former Morgan Stanley (Westlake ...
View Article
SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations Jul 31
The Securities and Exchange Commission identified compliance and oversight as a key area of concern, ...
View Article
Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures Apr 12
FINRA censured and fined Independent Financial Group (IFG) $200,000 for failing to supervise a ...
View Article
James Hedges Cited for Misrepresenting, Failing to Disclose $6 Million of Financial Events on Questionnaire Apr 05
FINRA fined and suspended former Triple A Partners LLC (Los Angeles, California) broker James ...
View Article
While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales Mar 26
Calton & Associates president Dwayne Calton said in a March 2021 interview that the firm anticipates ...
View Article
The Logan Group Securities Cited for Multi-Share Class Variable Annuity Violations Mar 25
FINRA fined and censured The Logan Group of Roseville, California for failing to establish, ...
View Article