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Restitution

April 17, 2023 RBC Ordered to Pay $1.1 Million Over Supervision Failures
May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
March 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales
July 16, 2021 Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
March 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
January 31, 2021 Broker San Nicolas Barred Over Recommendation to Purchase Las Vegas Raiders Seats
February 05, 2020 SoCal Ameriprise Broker Li Lin Hsu Sentenced for $8.2 Million Fraud
February 03, 2020 Royal Alliance Fined $400,000 Over $3.8 Million Theft from Customers