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Tags ArchivesFINRA Arbitration

Spotting Broker Churning: Protecting Your Investment Account from Excessive Broker Trading

In discretionary accounts, brokers have the power to transact with their client’s assets freely. Although brokers typically act responsibly, sometimes brokers abuse client confidence for personal gain. Churning occurs when a broker buys or sells investments, such as stocks, in a customer’s account to generate excessive commission.  It is a breach of the ...

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Suffered Investment Losses? Sue Your Stockbroker for their Fraud, Misconduct, or Negligence!

Can I Sue My Financial Advisor or Stock Broker for Investment Losses? Yes, if you can prove that your financial advisor or stockbroker violated law or breached his or her fiduciary duty to you and you lost money as a result.  You may also be able to recover losses from the ...

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