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Discretionary Trading

November 16, 2023 Jilena Mok of Edward Jones Sanctioned for Unauthorized Discretionary Trades
October 19, 2023 IFG Broker Stewart Ginn Accused of Churning Elderly Clients, Resulting in $4.5 Million in Losses
July 06, 2023 Wedbush's Jonathan Way Barred During Investigation, Allegations of Unauthorized and Unsuitable Trading
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
June 17, 2019 Barred San Diego Broker Harry Couglar Suspended by CFP Board
January 17, 2019 Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents
January 15, 2019 Paul Wishingrad Sanctioned for Unauthorized Use of Discretion in UBS Client Accounts
August 27, 2018 Ex-Wells Fargo Broker Joseph Eschleman Sanctioned for Unauthorized Use of Discretion