Excessive Trading

Posts In Excessive Trading

Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred Feb 06
FINRA fined Wells Fargo Advisors for failing to reasonably supervise a representative who ...
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Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading Oct 17
FINRA barred broker Daniel Gordon Maughan of Financial West Group's Brentwood (Los Angeles, CA) ...
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Broker John Charles Wyshak Ordered to Pay Nearly $1 Million Over Churning Allegations at Raymond James Oct 16
A FINRA arbitrator ordered former Raymond James broker John Charles Wyshak of the firm' Los Angeles, ...
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JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public Sep 17
FINRA fined JP Morgan Securities $1.1 million for failing to timely disclose at least 89 instances ...
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After Customers Suffer Losses, FINRA Cites Cetera's Summit Brokerage Services for Failing to Review Excessive Trade Alerts Jul 09
FINRA ordered Summit Brokerage Services, which is a Cetera Financial Group independent ...
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Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds Mar 20
The Law Offices of Jonathan W. Evans & Associates is investigating FINRA broker Dennis Albert ...
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