Brokers

The Wells Notice

Receiving a subpoena from the SEC, or an 8210 Request from FINRA can be the start of a long investigative process while can ultimately lead to a Wells Notice, and […]

Churned or Traded?

Churned or Traded?

Churning is excessive trading in a customer’s account by a broker taken in the context of the customer’s financial situation and investment objectives. While no one test is available to […]

Typical Customer Claims

Typical Customer Claims

Despite the rise in claims filed to over 7,000 a year, they do fall into categories.   I have been representing customers and brokers in securities arbitration matters since 1982. […]