Should I give me advisor discretionary authority Archives

Tag: Should I give me advisor discretionary authority

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...

April 6, 2017

Concerned about investment losses with your broker? If you suspect your account has been excessively traded, your broker may be churning...

November 11, 2015

FINRA Issues Punishments for Churning FINRA recently announced that they have permanently barred Richard Adams, a former registered...

June 28, 2012

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