Tag: investment advisor excessive transactions
FINRA Panel Awards $1 million for Churning Losses
Churning Losses Recovery According to the Financial Industry Regulatory Authority Inc. (FINRA), FINRA Arbitrators awarded more than $1...
Joseph C. Farah Barred from Securities Industry
FINRA Alleges Joseph C. Farah Churned Customer’s Account According to the Financial Industry Regulatory Authority, on January 17, 2018,...
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...
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...
