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Tag: excessive trades

Blog, Securities Fraud

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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Blog, Publications

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...

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Blog, Securities Fraud

Investor Alert – Excessive Trading – Churning

How can I tell if there is excessive trading or churning in my investment account? Churning is when a broker engages in excessive buying...

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Securities Fraud

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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