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https://www.complaintsboard.com/breakpoint-trades-you-have-been-warned-c365360
Breakpoint trades' analysis is quite useless for trading imo; they seem to gear to day traders hopping to catch small swings in the markets- This is a fallacy that only novice traders dabble in. System trading is one thing; reading tea leaves and interpreting minute to minute swings is another.
https://www.complaintsboard.com/breakpoint-trades-inc-unethical-behavior-c949334
I started to subscribe to BreakPoint Trades back in 2014. I paid for six months, and I found their service to not be very helpful in finding viable trades for me, so I canceled my service. I rejoined in 2016 to give it another chance, and I had saw that they were selling their SPY Pro system for an
https://breakpointtrades.com/blog/post/313955/
ssaffer - there's no logistical way I can email out trades for a 60 min system that could take a trade at any hr of the day or night where the entry time is extremely important. Hell I have enough complaints already from folks who tell me they miss trades because they are confirmed at the close. Can you imagine a trade occurring a 1 am
https://www.troweprice.com/personal-investing/products-and-services/brokerage/commissions-and-fees.html
6 Effective January 1, 2018—T. Rowe Price will not accept new load fund or UIT purchases. Subsequent purchases of load funds already held will be permitted for breakpoint considerations, as well as redemptions of both Load Funds and UITs are permitted. Certain Fidelity Funds are also charged a …
https://us.etrade.com/home
E*TRADE charges $0 commission for online US-listed stock, ETF, and options trades. Exclusions may apply and E*TRADE reserves the right to charge variable commission rates. The standard options contract fee is $0.65 per contract (or $0.50 per contract for customers who execute at least 30 stock, ETF, and options trades per quarter). ...
https://www.brokerage-review.com/online-brokers/fullservice/edward-jones-review.aspx
Edward Jones: The Full-Service Approach Edward Jones is a full-service brokerage represented by local advisors with the ability to invest, provide retirement planning, prepare taxes, and offer access to an enormous base of research and qualified experts.3/5
https://www.silverlaw.com/blog/finra-suspends-broker-jeffrey-paul-dragon-for-excessive-uit-trading/
May 04, 2018 · This meant that the below-breakpoint trades generated additional commissions that enriched both himself and the firm. The improper trading occurred from January 1, 2013 and December 31, 2015. Additionally, Dragon was also involved in trading mutual funds in a similar fashion, structuring trades so that none reached the discount breakpoint.
https://www.sec.gov/news/studies/breakpointrep.htm
The staff notes that the Commission has received few complaints from customers concerning failures by broker-dealers to provide appropriate breakpoint discounts. In fact, the Commission's Office of Investor Education and Assistance reports receiving just ten customer complaints concerning breakpoint discounts in the last two years. 38
https://breakpoint.org/israel-the-church-antisemitism-zionism-and-the-people-of-god/
To be technical, this is true. They are not anti-Jewish but anti-Israeli. However, they have all too often let their theoretically legitimate complaints about Israeli flaws spill over so that they now echo Muslim Antisemitism rather than the Right’s European version.
https://www.finra.org/rules-guidance/key-topics/mutual-funds
Jul 17, 2019 · FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
Sep 20, 2017 · Fraudulent or unregistered offer or sale of securities, including things like Ponzi schemes; Pyramid schemes ; High-Yield Investment Programs; Theft or misappropriation of funds or securities
https://www.finra.org/media-center/news-releases/2006/nasd-charges-oppenheimer-co-and-ceo-albert-lowenthal-knowingly
Washington, D.C. — NASD announced today that it has charged Oppenheimer & Co. and the firm's CEO, Albert Lowenthal, with knowingly submitting inaccurate and incomplete data in response to NASD's request that the firm perform a self-assessment of its mutual fund breakpoint discount practices. This is the second time in eight months that NASD has charged the firm with failing to produce ...
https://www.bondbuyer.com/news/nasd-files-obstruction-complaint
NASD Files Obstruction Complaint ... Typically breakpoint discounts are applied to front-end load Class A share transactions to reduce sales loads at the investment levels of $50,000, $100,000 ...
https://quizlet.com/353041919/understanding-trading-customer-accounts-and-prohibited-activities-flash-cards/
Once the order is entered, the stock trades in the following sequence: 32, 29, 31, and 33. ... the first breakpoint investors can achieve is mandated by industry rule to be at the $10,000 investment threshold. ... Customer complaints. III and IV Minutes of directors' meetings …
https://www.thesecuritiesattorney.com/ryan-halliday-investors-seek-2-6-million-in-complaint-against-crewe-advisor-rep/
Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Halliday (CRD# 4033864). Ryan Halliday has spent 13 years in the securities industry and has registered as an investment adviser with Crewe Advisors in Salt Lake City, Utah since 2015.
https://investor.vanguard.com/investing/transaction-fees-commissions/etfs
Jan 02, 2020 · Commission-free trading of non-Vanguard ETFs applies only to trades placed online; most clients will pay a commission to buy or sell non-Vanguard ETFs by phone. Vanguard Brokerage reserves the right to change the non-Vanguard ETFs included in these offers at any time.
https://www.stopbrokerfraud.com/news/update-investors-seek-10-million-in-complaints-against-walter-valenzuela/
Aug 20, 2018 · Update: Investors Seek $10+ Million In Complaints Against Walter Valenzuela. ... Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Valenzuela (CRD# 2280224). ... and failed to obtain proper breakpoint discounts for unit investment trust purchases. The customer is seeking $9,500,000 in damages in the ...
https://www.stopbrokerfraud.com/news/douglas-hyer/
Jun 20, 2018 · In 2009 a customer alleged Douglas Hyer, while employed at Cambridge Investment Research, recommended unsuitable trades, churned investments, and “engaged in breakpoint sales.” The complaint settled for $190,000. In 2004 a customer alleged Douglas Hyer, while employed at Raymond James Financial Services, recommended unsuitable investments.
https://www.investopedia.com/terms/o/omnibusaccount.asp
An omnibus account allows for managed trades of more than one person, and allows for anonymity of the persons in the account. Omnibus accounts are used by futures commission merchants.Transactions ...
https://www.thesecuritiesattorney.com/cabot-lodge-securities-1-regulatory-complaint/
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 24, 2019 indicate that New York-based brokerage firm Cabot Lodge Securities has received a regulatory sanction in connection to alleged rule violations.
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