Margin

• Feb 13, 2025 Newbridge Securities Fined for Margin Suitability Supervisory Failures & Investor Losses

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• Dec 7, 2023 Christopher Kennedy of Western International Securities Barred for Excessive Churning Resulting in $2.3 Million in Losses

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• Oct 24, 2023 Daniel King Cited for Unsuitable Recommendations on Margin Resulting in Damages

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• Sep 15, 2022 SagePoint Financial Sanctioned for Supervisory Failures, Excessive Margin for Elderly Client

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• Aug 20, 2020 Wedbush's David Hirons Accused of Unauthorized Trading

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• Apr 20, 2020 Wedbush Broker James Richards Cited for Supervision Failure Over Multi-Million Dollar Margin Deficits

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• Apr 16, 2020 CFP Board Suspends California's Michael Altobell & Richard LaBare

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• Mar 25, 2020 Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione

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• Mar 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes

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