churning lawyer
Tag Archive

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

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Demitrios Hallas April 27, 2017

Former Advisor Demitrios Hallas Under Investigation by the SEC

SEC Investigates Demitrios Hallas for Unsuitable investments Have you suffered

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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

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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

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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.

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February 14, 2017

Is your Financial Advisor Churning your Account?

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

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January 10, 2017

Wall Street v. Main Street Podcast – Episode 10

What is Churning?                  

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May 4, 2012

Woodbury Financial Services, Inc. fined by FINRA

Woodbury Financial Services, Inc. (CRD #421, Oakdale, Minnesota) recently submitted

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