-
December 4, 2018
Comments (0)
Blog, Publications
You don’t expect your investment broker to play tricks on you—so it is possible that you haven’t noticed that the broker has been churning your account, needlessly buying and selling assets to generate trading fees at your expense. Yes, this is something that happens, and in bull markets especially—it’s
Read More »
-
November 30, 2018
Comments (0)
Blog
Churning Losses Recovery According to the Financial Industry Regulatory Authority Inc. (FINRA), FINRA Arbitrators awarded more than $1 million to a client who alleged account churning by his broker at Legend Securities Inc. The FINRA panel of three awarded Herbert Voss $700,000 in punitive damages in addition to
Read More »
-
May 30, 2018
Comments (0)
Blog, Securities Fraud
How can I tell if there is excessive trading or churning in my investment account? Churning is when a broker engages in excessive buying and selling (i.e., trading) of securities in a customer’s account without considering the customer’s investment goal, and primarily to generate commissions that benefit the
Read More »
-
April 26, 2018
Comments (0)
Blog, Securities Fraud
FINRA proposes new rule for Churning Fraud – Excessive trades The Financial Industry Regulatory Authority Inc. is proposing a new rule to catch more brokers who are churning customer accounts, according to an article in Investment News on Monday. FINRA and the Securities and Exchange Commission have been targeting
Read More »
-
January 26, 2018
Comments (0)
Current Investigations, Securities Fraud
FINRA Alleges Joseph C. Farah Churned Customer’s Account According to the Financial Industry Regulatory Authority, on January 17, 2018, Joseph C. Farah (CRD#: 2978633, Irvine, CA) submitted an Offer of Settlement consenting to FINRA’s findings and is permanently barred from working in the securities industry.
Read More »
-
January 9, 2018
Comments (0)
Blog, Current Investigations, Securities Fraud
FINRA Orders Broker and Madison Avenue Securities to pay Court costs and fees According to the Financial Industry Regulatory Authority, an all-public FINRA arbitration panel has awarded a California investor the entire amount of her churning claim. The award is against broker David Lloyd Barber and his firm, Madison
Read More »
-
October 21, 2017
Comments (2)
Blog, Current Investigations
Investigating Potential Claims involving Adageo Energy Partners LP Are you concerned about your investment losses in Adageo Energy Partners LP? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses through a FINRA Arbitration claim. Adageo Energy is an independent oil
Read More »
-
October 13, 2017
Comments (0)
Blog
Steven John Meyer, Recovery of Investment Losses According to the Financial Industry Regulatory Authority, Steven John Meyer of Staten Island, New York, has been barred from the securities industry. In August, Steven John Meyer was barred by The State New Hampshire State Securities Bureau for allegations of
Read More »
-
August 29, 2017
Comments (0)
Blog, Current Investigations, Securities Fraud
SEC Charges Financial Advisor Dawn Bennett and DJB Holdings in $20 Million Ponzi Scheme Did you lose money investing with former financial advisor Dawn Bennett? If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. The Securities and Exchange
Read More »
-
July 19, 2017
Comments (0)
Current Investigations
ARC Healthcare III to Halt Distributions in August Are you worried about your investment losses in ARC Healthcare Trust III? If so, The White Law Group may be able to help you recover your losses by filing a FINRA arbitration claim against the brokerage firm that sold you the investment. American Realty Capital
Read More »
