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In August 2016, FINRA filed a formal complaint against a broker

In August 2016, FINRA filed a formal complaint against a broker, Hank Mark Werner of Northport, NY, for churning the account of his customer, a 77-year-old blind widow, and for excessive and unsuitable trading on her account. His actions, which allegedly span a three-year period, resulted in his receiving more than $243,000 in commission, which caused his client a net loss of approximately $184,000.

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