Fees

• Jan 21, 2025 WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts

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• Dec 13, 2024 Paychex Securities' Michael Shoniker Suspended for Sending 401(k) Customers to Outside Firm

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• 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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• Nov 5, 2024 Luis Nin of UBS' Unauthorized Trades in Dead Client's Account Result in Fines, Suspension

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• Sep 24, 2024 IFG VP Richard Mireles, Stewart Paxton Ginn Sanctioned in $2.2 Million Churning Scheme

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• Jul 15, 2024 Colorado Bars James McGehee Wealth Management for High-Risk Options Recommendations

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• Jul 10, 2024 Raymond James' Bryan Noonan & Thomas Reyes Barred After Unapproved Sales

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• May 1, 2024 FINRA Barred Former Independent Financial Group (IFG) Broker Brett Arthur Hartvigson of San Diego, California for Refusing to Cooperate With Its Investigation Into Allegations That Were Part of a Complaint. In 2021, While Associated With IFG, Brett Harvgi

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

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