Suitability

• Feb 13, 2025 Newbridge Securities Fined for Margin Suitability Supervisory Failures & Investor Losses

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• Jan 21, 2025 WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts

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• Dec 2, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty

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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 13, 2024 Stewart Ginn Agrees to Settle Charges of Churning $2.2 Million from IFG Customers

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• Aug 1, 2024 Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs

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• Jul 15, 2024 Colorado Bars James McGehee Wealth Management for High-Risk Options Recommendations

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• Jul 10, 2024 Raymond James' Bryan Noonan & Thomas Reyes Barred After Unapproved Sales

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• Jun 13, 2024 Fraudster Greg Lindberg, Owner of Northstar (Bermuda) and Colorado Bankers Life, Guilty of Bribery

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