{"id":32091,"date":"2026-11-12T22:40:56","date_gmt":"2026-11-13T04:40:56","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=32091"},"modified":"2026-11-12T22:40:56","modified_gmt":"2026-11-13T04:40:56","slug":"regulation-best-interest-loss-lawyers","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/","title":{"rendered":"Regulation Best Interest Loss Lawyers"},"content":{"rendered":"<h1>FINRA Fines Joseph Gunnar Over Lack of Policies Regarding Excessive Trading That It Calls a Violation of SEC Reg BI\u2019s Care Obligation<\/h1>\n<p style=\"text-align: center;\"><em><span class=\"\">Our Regulation Best Interest loss lawyers are investigating allegations against brokerage firm Joseph Gunnar &amp; Co.<\/span> 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.<\/em><\/p>\n<h2>Our Regulation Best Interest Loss Lawyers Are Investigating<\/h2>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/\"  title=\"Continue Reading Regulation Best Interest Loss Lawyers\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>FINRA Fines Joseph Gunnar Over Lack of Policies Regarding Excessive Trading That It Calls a Violation of SEC Reg BI\u2019s Care Obligation Our Regulation Best Interest loss lawyers are investigating allegations against brokerage firm Joseph Gunnar &amp; Co. following a $100,000 FINRA fine for supervisory failures related to excessive trading. The self-regulatory organization determined that [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":32093,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":"","jetpack_post_was_ever_published":false},"categories":[3762,4055,5558],"tags":[5559],"class_list":["post-32091","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-current-investigations","category-featured-investigation","category-regulation-best-interest-loss-lawyers","tag-regulation-best-interest-loss-lawyers"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.8 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Regulation Best Interest Loss Lawyers<\/title>\n<meta name=\"description\" content=\"Our Regulation Best Interest loss lawyers are investigating FINRA&#039;s fine against Joseph Gunnar for excessive trading failures. 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Call for a free review.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2026\/11\/Regulation-Best-Interest-Loss-Lawyers.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Regulation Best Interest Loss Lawyers","datePublished":"2026-11-13T04:40:56+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/"},"wordCount":629,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2026\/11\/Regulation-Best-Interest-Loss-Lawyers.jpg","keywords":["Regulation Best Interest Loss Lawyers"],"articleSection":["Current Investigations","Featured Investigation","Regulation Best Interest Loss Lawyers"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/","url":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/","name":"Regulation Best Interest Loss Lawyers","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/regulation-best-interest-loss-lawyers\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2026\/11\/Regulation-Best-Interest-Loss-Lawyers.jpg","datePublished":"2026-11-13T04:40:56+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"Our Regulation Best Interest loss lawyers are investigating FINRA's fine against Joseph Gunnar for excessive trading failures. 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