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Churning
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April 28, 2021
Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
December 10, 2018
FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations
December 02, 2018
Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
November 23, 2018
San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
October 24, 2018
John Simoncic Barred for Churning Retirement Accounts with VIX ETF
August 14, 2018
StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices
October 27, 2022
FINRA's First Regulation Best Interest AWC
January 01, 2021
Worden Capital Management Ordered to Pay $1.5 Million Over Systemic Excessive Trading and Unsuitable Recommendations That Caused Losses of Millions of Dollars, Interfering with Customers' Requests to Transfer Accounts to Another Broker-Dealer
July 14, 2020
Merrill Lynch, Charles Kenahan Under NH Investigation for $100+ Million Churning & Unauthorized Trading
March 24, 2020
Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
October 31, 2019
Ami Forte & Charles Lawrence Barred for Churning Dementia-Laden Elderly Client's Account
October 17, 2019
Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
October 16, 2019
Broker John Charles Wyshak Ordered to Pay Nearly $1 Million Over Churning Allegations at Raymond James
September 17, 2019
JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
July 12, 2018
FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
March 16, 2018
David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award
January 31, 2018
FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
January 26, 2018
Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations
January 25, 2018
Charles Dixon Barred After Termination from Morgan Stanley for Unauthorized Trading
January 10, 2018
Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives
November 13, 2017
Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading
August 30, 2017
Facing Allegations of Fraud and Churning, Frederick Houck Suspended for Unauthorized Use of Discretion
July 25, 2017
FINRA Bars Timothy Ballard for Failing to Cooperate with Investigation
May 31, 2017
FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations
January 10, 2017
Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts
August 30, 2016
Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading
August 06, 2016
Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow
July 29, 2016
Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm
July 27, 2016
FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation
April 20, 2016
Equinox Securities, Stephen Oliveira & Chris Palkowitsh Barred for Excessive Trading & Churning in Customer Accounts, IRAs
March 06, 2016
Bahram Mirhashemi Barred for Churning, Excessive Trading & Unsuitable Sales to Elderly Clients Resulting in Losses
December 04, 2015
SEC Bars of Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos for Churning
September 22, 2015
FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
August 19, 2015
Glenn Moffitt Barred Over Allegations He Converted Over $370,000 from Elderly Customer, Churned His Accounts
August 07, 2015
Caldwell International Securities Corp's Rasheed "Richard" Adams Barred for Churning, Excessive Trading
June 11, 2015
Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment
March 13, 2015
With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
November 15, 2014
OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors
May 01, 2014
NSM Securities, Bhasin, Bhagwani & Balchandani Disciplined for Supervisory, Suitability and Compliance Failures, Churning and Unauthorized Trading Activity
January 17, 2014
Massachusetts Charges Christopher Veale for Abusive Sales Practices & Churning in Elderly Client's Account
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
August 30, 2013
SEC Upholds FINRA Decision Banning Former Firm Founder Carl Birkelbach for Failure to Supervise
May 03, 2013
Bill Alvin Ahlswede Fined and Suspended for False Information, Failing to Disclose Complaint Alleging Churning and Fraud
October 10, 2012
FINRA Complaint Alleges Harry Ward Hunt Engaged in Excessive and Unsuitable Trading, Resulting in Commissions Paid to Broker
September 13, 2012
Terminated Morgan Stanley Risk Officer Claims Retaliatiory Firing for Whistleblowing
July 17, 2012
FINRA'S Office of Hearing Officers Issues Decision Barring Broker Alan Jay Davidofsky