Hedge Fund

• 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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• Aug 6, 2023 LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role

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• Jan 17, 2020 Citigroup, YieldStreet Plans Risky Hedge Fund Product for Retail Customers

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• Aug 1, 2018 Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions

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• Jul 13, 2017 Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme

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• May 4, 2017 FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse

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• Feb 12, 2016 FINRA Bars Brokers Timothy Stephen Dembski and Walter Francis Grenda for Fraud Related to Sales of Prestige Wealth Management Fund, LP.

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• Mar 25, 2014 LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales

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• Jan 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014

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