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Dec 13, 2024
Paychex Securities' Michael Shoniker Suspended for Sending 401(k) Customers to Outside Firm
Read More
Oct 1, 2024
Merrill Lynch Ordered by SEC to Pay $3.8 Million for Complex Trading Strategy's Excessive Fees & Risks
Read More
Sep 16, 2024
Nationwide Planning Associates Cited for Trying to Prevent Customers from Complaining About Firm to SEC
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Jul 15, 2024
Colorado Bars James McGehee Wealth Management for High-Risk Options Recommendations
Read More
Jul 14, 2023
Alleged Ponzi Scheme Broker at Western International Barred Amidst Alleged Fraud, Unauthorized GWG Holdings Sales
Read More
Jun 20, 2023
LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client
Read More
Jun 9, 2023
LPL & CUSO Financial Broker Kale KH Young Sanctioned for Falsifying Customer Signatures
Read More
Feb 7, 2023
SEC Accuses Steve Susoeff, Meritage Financial Group, of Fraudulent Scheme
Read More
Nov 3, 2022
FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
Read More
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