Articles Posted in SLCG

SEC Raises Concerns About Reverse Churning In Fee Based Accounts
Samuels Yoelin Kantor LLP

Investors wary of a broker’s self-interest in selling commission-based products may look to change to a fee-based advisory account. Rather than charging a commission for each transaction, fee based accounts typically charge an annual fee based on total account value. However, while a broker might “churn” an account in commission situations by inappropriately purchasing securities…

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