Excessive Trading Archives - Page 2 of 3

Western International To Pay $1.5M for Failing to Detect Churning in Customer Accounts

July 29, 2024

Robert Doyle of Axiom Capital: $1M Customer Complaint

October 03, 2023

Murat Kartal of Spartan Capital Suspended for Excessive Trading

July 20, 2023

Aramis Guerin Faces $115k Customer Complaint for Excessive and Unauthorized Trading

June 05, 2023

Kestra Broker Pamela Sue Espinosa: $1M Complaint

April 26, 2023

Notice to Kestra Investment Services Customers: Unsuitable Investment Losses? Contact KlaymanToskes at (888) 997-9956 for a free consultation

Ex-SW Financial Brokers Face $10.3M in Customer Complaints for Unauthorized and Excessive Trading

April 25, 2023

Investment Losses with NYC Brokers Vincenzo Trimaldi, David Alvarado, or John Girgis? Contact KlaymanToskes immediately at (888) 997-9956.

RBC to Pay Over $1M For Excessive and Short-Term Trading

April 20, 2023

PHX Financial Customers: Investment Loss Recovery Options

December 30, 2022

Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA

March 14, 2022

Aegis Capital’s Joseph LaScala Excessively Traded Customer Account

January 25, 2022

FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts

January 20, 2022

Recover John LoPinto Worden Capital Investment Losses

January 14, 2022

Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading

November 30, 2021

Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading

November 29, 2021

AEGIS CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Aegis Capital after FINRA Sanctions Aegis Capital and its Melville Branch Manager For Supervisory Violations Costing Investors Millions

November 16, 2021

Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

October 12, 2021

Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading

October 11, 2021

Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker

September 27, 2021

ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations

September 16, 2021

Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation

July 21, 2021

Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint

July 19, 2021

Stanford Law School Cornerstone Research Report Released with New Developments for IPOs and SPACs

February 05, 2021

FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded and Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other Violations

January 04, 2021

Category: Excessive Trading

Western International To Pay $1.5M for Failing to Detect Churning in Customer Accounts

Robert Doyle of Axiom Capital: $1M Customer Complaint

Murat Kartal of Spartan Capital Suspended for Excessive Trading

Aramis Guerin Faces $115k Customer Complaint for Excessive and Unauthorized Trading

Kestra Broker Pamela Sue Espinosa: $1M Complaint

Ex-SW Financial Brokers Face $10.3M in Customer Complaints for Unauthorized and Excessive Trading

RBC to Pay Over $1M For Excessive and Short-Term Trading

PHX Financial Customers: Investment Loss Recovery Options

Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA

Aegis Capital’s Joseph LaScala Excessively Traded Customer Account

FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts

Recover John LoPinto Worden Capital Investment Losses

Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading

Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading

AEGIS CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Aegis Capital after FINRA Sanctions Aegis Capital and its Melville Branch Manager For Supervisory Violations Costing Investors Millions

Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading

Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker

ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations

Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation

Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint

Stanford Law School Cornerstone Research Report Released with New Developments for IPOs and SPACs

FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded and Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other Violations

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