Tag: churning lawyer
Barclays Capital to pay $16.5 million for Failure to Supervise
Barclays Capital Failure to Supervise According to an SEC press announcement this week, Barclays Capital will pay more than $16.5 million...
Dawn Bennett Ordered to Pay $4 Million by the SEC
Recovery of Investment Losses with Dawn Bennett Former investment adviser Dawn Bennett must pay nearly $4 million for inflating assets and...
SEC Alert on Red flags of excessive trading, churning
NY Brokers charged the same day in churning scheme The Securities and Exchange Commission issued an investor alert In January warning...
New FINRA Rule Protecting Seniors from Financial Abuse
SEC approves new FINRA rule designed to protect seniors from financial exploitation. Will firms follow through? The US Securities and...
Woodbury Financial Services, Inc. fined by FINRA
Woodbury Financial Services, Inc. (CRD #421, Oakdale, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
