churning attorney
Tag Archive

FINRA Cracks Down on Excessive Trading, featured by top securities fraud attorneys, The White Law Group December 15, 2020

FINRA Cracks Down on Excessive Trading

FINRA says there will be an Increase in Excessive Trading Cases in 2021 The

Read article

Joseph C. Farah January 26, 2018

Joseph C. Farah Barred from Securities Industry

FINRA Alleges Joseph C. Farah Churned Customer’s Account According to the

Read article

Steven John Meyer October 13, 2017

Steven John Meyer Barred from Securities Industry

Steven John Meyer, Recovery of Investment Losses According to the Financial Industry

Read article

Barclays May 4, 2017

Barclays Capital to pay $16.5 million for Failure to Supervise

Barclays Capital Failure to Supervise According to an SEC press announcement this

Read article

Demitrios Hallas April 27, 2017

Former Advisor Demitrios Hallas Under Investigation by the SEC

SEC Investigates Demitrios Hallas for Unsuitable investments Have you suffered

Read article

Dawn Bennett April 4, 2017

Dawn Bennett Ordered to Pay $4 Million by the SEC

Recovery of Investment Losses with Dawn Bennett Former investment adviser Dawn

Read article

Kathleen J. Tarr March 30, 2017

FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr

FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr According to reports,

Read article

churning March 29, 2017

SEC Alert on Red flags of excessive trading, churning

NY Brokers charged the same day in churning scheme The Securities and Exchange

Read article

LPL Financial February 27, 2017

New FINRA Rule Protecting Seniors from Financial Abuse

SEC approves new FINRA rule designed to protect seniors from financial exploitation.

Read article

February 14, 2017

Is your Financial Advisor Churning your Account?

Is your Financial Advisor Churning your Account? Have you suffered losses investing

Read article