Chris B. Palkowitsh—Excessive Trading and Churning of Customer Accounts

Chris B. Palkowitsh Allegedly Excessively Traded and Churned Six Customers’ Accounts (a Total of Eight Accounts) Chris B. Palkowitsh, a Georgia-based broker who at times allegedly made thousands of trades daily in clients’ accounts with the apparent knowledge of his employer, allegedly excessively traded and churned six customers’ accounts, according to a Complaint from FINRA’s… Read more »

James Lee Accused of Misleading Investors

James Y. Lee, of La Jolla, California, defrauded investors by charging clients fees based on false performance, concealing from them that they actually lost money, and misleading them by promising to share in the realized losses and the risks of his options trading strategy, according to a complaint filed by the Securities and Exchange Commission… Read more »