Options

• Oct 1, 2024 Merrill Lynch Ordered by SEC to Pay $3.8 Million for Complex Trading Strategy's Excessive Fees & Risks

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

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• Mar 28, 2024 Stifel Financial Agrees to Pay for Failing to Supervise Brokers Who Allegedly Stole Client Funds, Made Unsuitable Trades

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• Oct 6, 2022 As Credit Suisse Nears Financial Jeopardy, Potential Customer Losses Loom for its Structured Products

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• Apr 27, 2022 Berthel Fisher Fined $100,000 for Options Trading Compliance Failures in Elderly Client's Account

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• Jun 16, 2021 Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review"

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

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• Feb 4, 2020 FINRA's Saction of Mason Gann Highlights Risks of Naked Puts Strategy

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• Oct 17, 2019 Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading

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