Tag: Financial advisor frequent trades
Investor Awarded $1.67 Million in California Churning Case
FINRA Orders Broker and Madison Avenue Securities to pay Court costs and fees According to the Financial Industry Regulatory Authority, an...
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...
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...
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...
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...
FINRA Claim Filed Against Cetera Advisors, LLC over Investment Losses
The White Law Group announces the filing of a FINRA Arbitration claim against Cetera Advisors, LLC. The White Law Group announces that it...
