Tag: excessive financial advisor commissions
April 26, 2018
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...
Current Investigations, Securities Fraud
January 26, 2018
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,...
October 13, 2017
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...
Blog, Current Investigations, Securities Fraud
June 29, 2017
Have you been a Victim of Churning Fraud?
Recovery of Investment Losses due to Churning Fraud Are you a victim of churning fraud? If so, the securities attorneys of The White Law...
May 23, 2017
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...
May 15, 2017
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...