Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Marilyn Hoosen (Hoosen), currently associated with Stifel Independent Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hoosen 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 on June 23, 2025.
Client alleges excessive trading from 01/01/2024-12/31/2024