Staff AttorneyJun 21, 20192 minFormer Aegis Financial Advisor James Bradley Schwartz Suspended for Churning (Excessive Trading) andJames Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e....
Staff AttorneyJun 18, 20192 minFormer David A. Noyes Financial Advisor Sam Aziz Barred for Unsuitable and Excessive TradingFormer David A. Noyes & Company financial advisor, Sam Aziz (Aziz), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneyOct 2, 20182 minFinancial Advisor Paul Soll Barred for Unsuitable Trades in Elderly Customer’s AccountFormer FWG financial advisor, Paul Edward Soll (Soll), recently settled allegations with the Financial Industry Regulatory Authority...
Staff AttorneyJun 10, 20182 minInvestors Can Sue for ChurningWhat is churning? "Churning" occurs when a financial advisor excessively trades or transacts business in an account typically for the...