Tag: excessive trading lawyer

September 11, 2012

SEC accuses 3 former JP Turner Brokers of Churning

According to reports, three former JP Turner & Company brokers have been accused by the Securities and Exchange Commission of...

Blog, Securities Fraud Articles

August 7, 2012

Regulatory Rules Governing Churning

FINRA & NFA Rules Governing Churning Although the industry has done a decent job of curbing the churning of investors’ accounts...

Blog, Securities Fraud Articles

May 4, 2012

Woodbury Financial Services, Inc. fined by FINRA

Woodbury Financial Services, Inc. (CRD #421, Oakdale, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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