Tag: excessive trading
How Much Trading is Too Much? Excessive Trading Attorneys
Have you suffered investment losses due to too much trading in your brokerage account? The excessive trading attorneys at The White Law...
FINRA Cracks Down on Excessive Trading
FINRA says there will be an Increase in Excessive Trading Cases in 2021 The Financial Industry Regulatory Authority (FINRA) is cracking...
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...
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr According to reports, former independent broker Kathleen J. Tarr’s bid...
Churning (Excessive Trading), Informational Video
Informational video on Churning fraud (Excessive trading) Churning fraud is defined as an unethical practice employed by some financial...
Top 10 Most Common Types of Securities Fraud
As a national securities litigation law firm and investor protection advocate, the firm sees all types of securities fraud. The firm has...
