churning definition
Tag Archive

• Is your Financial Advisor Churning your Account?

  February 14, 2017 Comments (0) Securities Fraud

  Is your Financial Advisor Churning your Account? Have you suffered losses investing with your financial advisor? If so, The White Law Group may be able to help you by filing a FINRA arbitration claim against the brokerage firm that sold you the investments. Like any profession – there are good financial advisors and

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• Wall Street v. Main Street Podcast – Episode 10

  January 10, 2017 Comments (0) Blog, Podcasts, Securities Fraud

  What is Churning?                     Churning is excessive trading by a broker in a client’s account largely to generate commissions. Churning claims arise out of the inherent conflict of interest involved when a financial advisor is compensated by commissions

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• Wall St. Cheat Sheet: Is Your Broker Churning Your Investment Account?

  

  April 19, 2014 Comments (0) Publications

  Financial Professionals are like any profession – there are good ones and there are bad ones. As long as financial advisors are compensated by commissions, some of the unscrupulous ones will continue to attempt to enrich themselves by excessively trading accounts...

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• FINRA Awards suggest churning remains problem in securities industry

  

  March 6, 2014 Comments (0) Blog, Securities Fraud

  FINRA Churning awards Based on FINRA awards, it appears that churning continues to be a problem in the securities industry.  From January 1, 2013 to December 31, 2013, there were 52 cases decided that at least mentioned churning as an issue in the case. Churning is an illegal and unethical practice that takes place

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• How to Know if your Broker is Churning your Account

  

  April 3, 2013 Comments (0) Securities Fraud

  Concerned your broker may be churning your account? Churning claims arise out of the inherent conflict of interest involved because a financial advisor is compensated by commissions earned in buying and selling securities on behalf of a client.  As long as financial advisors are compensated by commissions, the

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• Securities Attorney’s view of the basics of churning fraud

  

  November 27, 2012 Comments (0) Blog, Securities Fraud

  What is Churning Fraud? Churning fraud is defined as an unethical practice employed by some financial advisors to increase their commissions by excessively trading in a client’s account.  This practice violates various FINRA Rules and is often referred to as “churn and burn”, “excessive

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• Victim of Excessive Trading?

  

  January 4, 2012 Comments (0) Blog, Securities Fraud

  Have You Been a Victim of Excessive Trading? Has your account been excessively traded or churned by your financial advisor? If so, you may have a securities fraud claim to recover the damages resulting from Excessive Trading or Churning. FINRA Rule 2111 requires that broker-dealers must have a reasonable basis to

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