Tag: broker churning
FINRA Cracks Down on Excessive Trading
FINRA says there will be an Increase in Excessive Trading Cases in 2021 The Financial Industry Regulatory Authority (FINRA) is cracking...
BottomLine Inc.: Beware Brokers Who Run Up Charges
Bottom Line Inc. Article on Churning On December 1, 2018, Bottom Line Inc. published an article warning consumers to be careful of brokers...
FINRA Panel Awards $1 million for Churning Losses
Churning Losses Recovery According to the Financial Industry Regulatory Authority Inc. (FINRA), FINRA Arbitrators awarded more than $1...
FINRA Tightens up on Churning Violations
FINRA proposes new rule for Churning Fraud – Excessive trades The Financial Industry Regulatory Authority Inc. is proposing a new rule to...
Joseph C. Farah Barred from Securities Industry
FINRA Alleges Joseph C. Farah Churned Customer’s Account According to the Financial Industry Regulatory Authority, on January 17, 2018,...
Investor Awarded $1.67 Million in California Churning Case
FINRA Orders Broker and Madison Avenue Securities to pay Court costs and fees According to the Financial Industry Regulatory Authority, an...
