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Registered Investment Advisor

July 14, 2023 Alleged Ponzi Scheme Broker at Western International Barred Amidst Alleged Fraud, Unauthorized GWG Holdings Sales
June 20, 2023 LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client
June 09, 2023 LPL & CUSO Financial Broker Kale KH Young Sanctioned for Falsifying Customer Signatures
February 07, 2023 SEC Accuses Steve Susoeff, Meritage Financial Group, of Fraudulent Scheme
August 28, 2022 GWG Holdings Financing Package Approved, Further Highlighting Importance of Pursuing Arbitration with Firms That Sold L Bonds
September 11, 2020 Stifel Nicolaus Broker Steven Rodemer to Pay $385,536 to Settle SEC Claims He Scammed Elderly Widow
July 02, 2019 Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
March 27, 2019 Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)