Tag: excessive trades
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 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...
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...
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr According to reports, former independent broker Kathleen J. Tarr’s bid...
SEC Alert on Red flags of excessive trading, churning
NY Brokers charged the same day in churning scheme The Securities and Exchange Commission issued an investor alert In January warning...
