Financial advisor frequent trades Archives

Tag: Financial advisor frequent trades

January 9, 2018

FINRA Orders Broker and Madison Avenue Securities to pay Court costs and fees According to the Financial Industry Regulatory Authority, an...

October 13, 2017

Steven John Meyer, Recovery of Investment Losses According to the Financial Industry Regulatory Authority, Steven John Meyer of Staten...

June 29, 2017

Recovery of Investment Losses due to Churning Fraud Are you a victim of churning fraud? If so, the securities attorneys of The White Law...

May 23, 2017

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

Recognizing Excessive Trading or Churning in your Brokerage Account In January, the SEC’s Office of Investor Education and Advocacy...

April 25, 2017

FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction...