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Tag Archives: Churning Client Accounts

SEC Bars Three Brokers for “Churning” Client Accounts

By Gregory Tendrich, P.A. |

Many securities brokers work on commission. This generally means the broker receives a payment for each trade he or she executes on a customer’s behalf. While this is perfectly ethical, some brokers cross the line and engage in an illegal practice known as “churning.” As explained in a 1986 federal appeals court decision, there… Read More »

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