Articles Posted in Churning (Excessive Trading)

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Brad Katzer (Katzer), currently associated with Equitable Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Katzer  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 10, 2026.

Client alleges the RR engaged in excessive trading, misrepresented fees, and made unsuitable investment recommendations.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Brian Barber (Barber), currently associated with Equitable Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Barber  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 10, 2026.

Client alleges the RR engaged in excessive trading, misrepresented fees, and made unsuitable investment recommendations.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Paul Baldino (Baldino), currently associated with Equitable Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Baldino  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 10, 2026.

Client alleges the RR engaged in excessive trading, misrepresented fees, and made unsuitable investment recommendations.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jeffrey Cadan (Cadan), previously associated with Morgan Stanley, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Cadan  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on July 02, 2020.

Claimants allege, inter alia, Excessive trading with respect to investments – July 2014 to December 2016

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Weisberg (Weisberg), previously associated with Worden Capital Management LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Weisberg  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $47,629.58 on January 15, 2021.

Churning and quantitative unsuitability, misrepresentation and unsuitability. The alleged activity occurred between October\<char_lb_r>\, 2017 and December 2019.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jeffrey Montville (Montville), currently associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Montville  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on January 21, 2021.

Claimant asserts claims of violations of FINRA Rules, negligence, misrepresentations and omissions of fact, and breach of fiduciary duty arising from allegedly failing to halt Claimant from engaging in unspecified risky trades, excessive trading on margin, and\<char_lb_r>\, over-concentrated short position in one stock.From 2017 to 2020.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Samuel Annitto (Annitto), previously associated with Benjamin F. Edwards & Company, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Annitto  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on January 25, 2021.

Claimant alleges that since 2014, she was sold unsuitable investments with high commissions without explanation of the risks involved and that improper withdrawals by a co-trustee were allowed to go unchecked.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jason Zahtila (Zahtila), currently associated with K2 Capital Asset Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Zahtila  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $900,000.00 on October 26, 2020.

Alleged unsuitable investments, churning and commission charges.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Woods (Woods), currently associated with Stirlingshire Investments, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Woods  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,123.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Paul Prestia (Prestia), previously associated with Laidlaw & Company (UK) Ltd., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Prestia  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $7,881.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

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