Tag: churning attorney
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...
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,...
Steven John Meyer Barred from Securities Industry
Steven John Meyer, Recovery of Investment Losses According to the Financial Industry Regulatory Authority, Steven John Meyer of Staten...
Barclays Capital to pay $16.5 million for Failure to Supervise
Barclays Capital Failure to Supervise According to an SEC press announcement this week, Barclays Capital will pay more than $16.5 million...
Former Advisor Demitrios Hallas Under Investigation by the SEC
SEC Investigates Demitrios Hallas for Unsuitable investments Have you suffered losses investing with former financial advisor Demitrios...
Dawn Bennett Ordered to Pay $4 Million by the SEC
Recovery of Investment Losses with Dawn Bennett Former investment adviser Dawn Bennett must pay nearly $4 million for inflating assets and...
