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Tag: excessive trading

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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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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Blog, Securities Fraud

Top 10 Most Common Types of Securities Fraud

As a national securities litigation law firm and investor protection advocate, the firm sees all types of securities fraud. The firm has...

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