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Feb 13, 2025
Newbridge Securities Fined for Margin Suitability Supervisory Failures & Investor Losses
Read More
Jan 31, 2025
Fidelity Fined for Supervisory Failures After Employee Steals $758,000 From Clients
Read More
Dec 28, 2024
SEC Fines Morgan Stanley $15 Million for Inadequate Supervision Over Failure to Safeguard Customer Funds
Read More
Sep 24, 2024
IFG VP Richard Mireles, Stewart Paxton Ginn Sanctioned in $2.2 Million Churning Scheme
Read More
Sep 9, 2024
Morgan Stanley Fined $2 Million Over Improper First Republic Trades
Read More
Aug 8, 2024
Janney Montgomery Scott Fined for Failing to Report Trades, Supervisory Failures
Read More
Aug 3, 2024
PFS Investments Fined for Failing to Enforce Outside Business Activities Rule
Read More
Aug 1, 2024
Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs
Read More
Jul 31, 2024
FINRA Fines UBS $850,000 for Unapproved Annuities Supervision Failure Totalling $7.2 Million
Read More
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