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Tag: Should I give me advisor discretionary authority

excessive trading

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...

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churning

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...

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the looper formula

Current Investigations

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...

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Blog, Securities Fraud Articles

June 28, 2012

Overview of Investment Products and the Commissions Associated With Each

When it comes to understanding the potential risks, costs, and advantages of the various investment “products” offered today, a prudent...

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Alternative Investment Losses
September 28, 2023
CFP Board Imposes Sanctions September 2023
September 27, 2023
When Your Financial Advisor Files for Bankruptcy
September 27, 2023
Deutsche Bank Subsidiary DWS to Pay $25 Million
September 25, 2023
W.P. Carey to Ditch Office Portfolio
September 25, 2023

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