Tag: financial advisor Excessive commissions
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...
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...
April 25, 2017
FINRA Revises its Sanction Guidelines on Churning
FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction...
April 6, 2017
Churning & The Looper Formula
Concerned about investment losses with your broker? If you suspect your account has been excessively traded, your broker may be churning...
Blog, Securities Fraud Articles
March 8, 2017
Sebastian, Florida | Securities Fraud Attorney | Churning Attorney
Is your broker churning your account? Are you the victim of churning by your financial advisor? If so, the securities attorneys of The...