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Tag: churning attorney

Blog, Securities Fraud Articles

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...

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Securities Fraud Articles

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...

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Current Investigations, Securities Fraud Articles

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...

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