Loan

• May 17, 2024 Jeffries Broker Cited for Using WhatsApp To Conduct Securities Business

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• Nov 27, 2023 Stephen Takeda Barred During Customer Loans Investigation

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• Jan 10, 2023 Western International Securities' Efrain Trujillo Suspended by FINRA for Unauthorized Loans

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• Oct 21, 2022 Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers

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• Jul 27, 2022 David Hixon Sanctioned Over Improper Money Borrowing, Loans

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• May 27, 2022 Tarik Nehmatullah Barred After Allegedly Accepting Loan from Customer

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• Sep 20, 2021 Ex-LPL Financial, APW Capital's Paul Furusho Barred After Loan Investigation

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• May 19, 2021 Hung Sam Cited for Borrowing From Wells Fargo Customer Without Authorization

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• Feb 10, 2021 My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations

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