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May 14, 2026
Cambridge Investment Research Fined $200k for Unit Investment Trust (UIT) Supervisory Failures
Read More
Apr 22, 2026
JP Morgan Fined $3.2 Million for Failing to Supervise Broker; $55 Million Paid Out to Customers Through Multiple Settlements
Read More
Apr 29, 2025
Banyan Securities Censured & Fined for Money Laundering Policy Deficiencies
Read More
Feb 17, 2025
BMO Capital to Pay $40 Million for Mortgage-Backed Bonds Supervisory Failures
Read More
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
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