Tag Archives: Churning

Cetera Fined $1.4M For Churning Broker

You may have heard the term “churning” in discussions of investments and securities. But you probably won’t know what it means unless you’ve actually experienced it. (Hint: it has nothing to do with butter.) “Churning” is when a broker and/or … Continue reading

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Advisor Dudley Stephens Accused of Churning and Unapproved Product Sales

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dudley Stephens (Stephens), formerly associated with Coastal Equities, Inc. (Coastal Equities), in September 2018, was sanctioned and barred from the securities industry by FINRA due to failures … Continue reading

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Advisor Jean-Matthieu Josse Subject to Churning Claims

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jean-Matthieu Josse (Josse) has been subject to at least two customer complaints during his career.  Josse is currently employed by A.G.P. / Alliance Global Partners (Alliance Global). … Continue reading

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The SEC Bars Daniel Fischer for Unsuitable Churning In Customer Accounts

The investment fraud attorneys at Gana Weinstein LLP are currently investigating previously registered broker Daniel Fischer (Fischer). According to BrokerCheck, in January 2018, the Securities Exchange Commission (SEC) barred Fischer from the financial industry claiming that from December 2012 to … Continue reading

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Broker Bradley Everett Gardner Accused Of Churning, Resigns After Accepting Customer Check In His Name

Bradley Everett Gardner (CRD# 4423724) is a former broker and investment advisor whose last known position in the financial industry was with LPL, LLC, (CRD# 6413) of Fort Bragg, CA. He worked for LPL from 02/27/2012 to 10/18/2017. Previously, Gardner worked … Continue reading

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