Tag: Should I give me advisor discretionary authority
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
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...