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Registered Investment Advisor

Most Recent Posts in Registered Investment Advisor

Dec 13, 2024 Paychex Securities' Michael Shoniker Suspended for Sending 401(k) Customers to Outside Firm
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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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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
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Jul 14, 2023 Alleged Ponzi Scheme Broker at Western International Barred Amidst Alleged Fraud, Unauthorized GWG Holdings Sales
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Jun 20, 2023 LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client
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Jun 9, 2023 LPL & CUSO Financial Broker Kale KH Young Sanctioned for Falsifying Customer Signatures
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Feb 7, 2023 SEC Accuses Steve Susoeff, Meritage Financial Group, of Fraudulent Scheme
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Nov 3, 2022 FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
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