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Tag Archives: Churning

What to Do If You Were a Victim of Excessive Trading (Churning)?

By Gregory Tendrich, P.A. |

Recently, the SEC Office of Investor Education and Advocacy released an official alert warning investors to be on the lookout for broker excessive trading. Excessive trading, also known as churning, occurs when a broker or broker-dealer make unnecessary transactions on an investor’s account, solely for the purpose of generating increased commissions and fees for… Read More »

FINRA Bans Broker for “Churning” Customer Accounts

By Gregory Tendrich, P.A. |

A stockbroker has an ethical and legal duty to make “suitable” investments with your money. The Financial Industry Regulatory Authority (FINRA), the self-regulatory organization for brokerage firms in the United States, explains this duty in its Rule 2111. Specifically, the rule says a broker must “have a reasonable basis to believe that a recommended… Read More »

Gregory Tendrich, PA
Gregory Tendrich, P.A. serves clients throughout Florida, including the cities of West Palm Beach, Palm Beach, Delray Beach, Boynton Beach, Boca Raton, Port St. Lucie, Lake Worth, Wellington, Riviera Beach, Palm Beach Gardens, Fort Pierce, Vero Beach, Hobe Sound, Jupiter Island, North Palm Beach, Lake Park, Lantana, Stuart, Palm City, Jensen Beach, Tequesta and Juno Beach and represents clients in Palm Beach County, Martin County, St. Lucie County, Indian River County and throughout Florida.

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