Restitution

• Apr 17, 2023 RBC Ordered to Pay $1.1 Million Over Supervision Failures

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• Mar 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales

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• Jul 16, 2021 Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures

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• May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures

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• Mar 26, 2021 While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales

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• Jan 31, 2021 Broker San Nicolas Barred Over Recommendation to Purchase Las Vegas Raiders Seats

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• Feb 5, 2020 SoCal Ameriprise Broker Li Lin Hsu Sentenced for $8.2 Million Fraud

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• Feb 3, 2020 Royal Alliance Fined $400,000 Over $3.8 Million Theft from Customers

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• Jan 6, 2020 FINRA Penalizes Oppenheimer & Co $3.8 Million After UIT Supervisory Failures

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