financial advisor excessive trading
Tag Archive

Michael S. Lavolpe March 17, 2017

Michael S. Lavolpe Barred from Securities Industry

Concerned about investment losses with Michael S. Lavolpe? Have you suffered losses

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February 7, 2017

John Kakonikos Suspended from Securities Industry

Investment Losses with John Kakonikos According to FINRA, John Kakonikos (CRD

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churning January 10, 2017

Investor Alert: Excessive Trading at Your Expense?

Are You a Victim of Excessive Trading? The SEC’s Office of Investor Education and

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Caldwell Securities October 19, 2016

Paul Lebel Barred by SEC

Investment Losses with Paul Lebel? Former LPL Financial  broker, Paul Lebel was

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September 16, 2016

Investor Alert: David Cannata Barred from Securities Industry

According to FINRA, David Charles Cannata (CRD #2408845, Smithtown, New York) was

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churning November 11, 2015

FINRA Bars Former Caldwell Broker for Churning Customer Accounts

FINRA Issues Punishments for Churning FINRA recently announced that they have

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September 11, 2012

SEC accuses 3 former JP Turner Brokers of Churning

According to reports, three former JP Turner & Company brokers have been accused

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August 7, 2012

Regulatory Rules Governing Churning

FINRA & NFA Rules Governing Churning Although the industry has done a decent

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September 21, 2011

Churning (Excessive Trading), Informational Video about Securities Fraud

Informational video on Churning fraud (excessive trading) Churning fraud is defined

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