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Tag: churning losses
David Fagenson Ex-UBS Broker Reportedly Suspended
David Fagenson Accused by FINRA of Churning Client Accounts According to the Financial Industry Regulatory Authority (FINRA), the...
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...
Two Texas Retirees Reportedly Sue LPL Financial
Former clients of LPL Financial are fighting the firm and their broker, Jason N. Anderson in Beaumont, Texas. Plaintiffs Elijah Denson and...
Investor Alert: Excessive Trading in your Brokerage Account
Recognizing Excessive Trading or Churning in your Brokerage Account In January, the SEC’s Office of Investor Education and Advocacy...
FINRA Revises its Sanction Guidelines on Churning
FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction...
