Category Archives: Churning
Florida Broker Barred For Failure To Cooperate With Investigation Into Alleged “Churning”
Nathan Gersteen Katz (CRD #846475) is a previously registered FINRA broker and investment adviser. From June of 2001 to August of 2018, Mr. Katz was a representative of Triad Advisors LLC in Largo, Florida. After that, he served as an investment adviser for American Independent Securities Group LLC from October of 2018 to January… Read More »
Florida Brokerage Firm Sanctioned By FINRA for Failure to Supervise, Churning
Summit Brokerage Services (CRD#: 34643/SEC#: 8-46310) is a brokerage firm that is regulated by the Financial Industry Regulatory Authority (FINRA). With headquarters in Boca Raton, FL, Summit Brokerage has been in the securities industry since 1993 and it is licensed to operate in 51 U.S. states and American territories. On July 2nd, Summit Brokerage… Read More »
