excessive trades
Tag Archive

Excessive Trading, Featured by Top Securities Fraud Attorneys, The White Law Group December 4, 2018

BottomLine Inc.: Beware Brokers Who Run Up Charges

Bottom Line Inc. Article on Churning On December 1, 2018, Bottom Line Inc. published

Read article

churning May 30, 2018

Investor Alert – Excessive Trading – Churning

How can I tell if there is excessive trading or churning in my investment account?

Read article

Churning April 26, 2018

FINRA Tightens up on Churning Violations

FINRA proposes new rule for Churning Fraud – Excessive trades The Financial

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

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

February 14, 2017

Is your Financial Advisor Churning your Account?

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

Read article

January 10, 2017

Wall Street v. Main Street Podcast – Episode 10

What is Churning?                  

Read article