Recent Posts in the Excessive Trading Category

• SEC Charges Transamerica Entities $97 Million Over Faulty Investment Models

  Aug 31, 2018
  The Securities and Exchange Commission (SEC) announced that it charged four Transamerica entities $97.6 million for its misconduct in misleading ...
  Posted By Meyer Wilson
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• Meyer Wilson's Investigation into Next Financial Group

  Aug 29, 2018
  Next Financial Group continues to make headlines for a wide range of potential fraud, including elder abuse, excessive trading, failure to supervise, ...
  Posted By Meyer Wilson
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• FINRA Proposing a Wider Net to Capture Churning Brokers

  Jun 27, 2018
  On April 20, the Financial Industry Regulatory Authority (FINRA) proposed a new rule that expands the liability of churning practices. The new rule ...
  Posted By Meyer Wilson
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• Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others

  Aug 14, 2017
  John Nelson Crook is a stockbroker with a history of customer complaints against him. He has been accused of misrepresentation, engaging in excessive ...
  Posted By Meyer Wilson
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