Why am I getting so many confirmations Archives

Tag: Why am I getting so many confirmations

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 21, 2016

Is your Financial Advisor Churning your Account? What is churning? According to the SEC, churning occurs when a broker engages in excessive...

November 11, 2015

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