FINRA Fines Joseph Gunnar Over Lack of Policies Regarding Excessive Trading That It Calls a Violation of SEC Reg BI’s Care Obligation

Our Regulation Best Interest loss lawyers are investigating allegations against brokerage firm Joseph Gunnar & Co. following a $100,000 FINRA fine for supervisory failures related to excessive trading. The self-regulatory organization determined that the firm failed to establish reasonable policies to detect churning, violating the SEC Reg BI Care Obligation and leading to potential investor losses.

Our Regulation Best Interest Loss Lawyers Are Investigating