Insights
October 16, 2025
It’s a common misconception that investment fraud is always a dramatic, obvious scheme. More often, it’s a slow burn of unsuitable recommendations, excessive trading, or vague strategies that quietly ...
May 10, 2025
The world of investing can feel like navigating a minefield, especially with the ever-present risk of fraud. In Georgia, investment fraud takes many forms, from Ponzi schemes to churning, leaving coun...
January 22, 2025
Understanding Churning and Its Impact on Investors in Atlanta Investing in the stock market can be a rewarding way to grow your wealth over time. However, it is essential for investors to be aware of ...
January 17, 2025
Churning is a term that is commonly used in the investment world, but its implications and consequences are not always fully understood by investors. In Atlanta, a city with a thriving financial servi...
January 5, 2025
Churning, a practice in the financial industry where brokers make excessive trades in a client’s account to generate commissions, can have a significant impact on investors in Atlanta. Understan...
December 11, 2024
Title: Churning: What Investors in Houston Need to Look Out For As an investor in Houston, it is crucial to be aware of the potential risks associated with churning, a deceptive and harmful practice t...
October 14, 2020
Newport Coast Securities, Inc. was recently expelled from FINRA membership fined $403,000 and ordered to pay $853,617.04 plus interest to customers in restitution for excessively trading in and churni...
February 19, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and censured Chelsea Financial Services, of Staten Island, New York. FINRA found that, from January 2016 through July 2018, Chelsea Fina...
March 5, 2019
The Securities and Exchange Commission has entered an Order permanently barring Staten Island, New York-based broker William C. Gennity from the securities industry. The SEC’s Order includes findings ...
December 21, 2018
The Financial Industry Regulatory Authority (“FINRA”) has fined Cetera Advisor Networks $1.4 million related to short-term mutual fund purchases of a former broker. FINRA fined Cetera $700,000 in pena...
October 19, 2016
Paul Lebel, a broker formerly with LPL Financial from 2008 to 2014, was barred by the SEC for churning and excessively trading mutual funds in customer accounts and generating excess fees. [su_spacer ...
April 12, 2016
According to FINRA’s BrokerCheck, broker John Prinzivalli has been the subject of two churning complaints since 2010. Other complaints against Prinzivalli have alleged a number of securities law...
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