{"id":11322,"date":"2024-01-23T15:05:37","date_gmt":"2024-01-23T20:05:37","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11322"},"modified":"2024-01-23T15:05:37","modified_gmt":"2024-01-23T20:05:37","slug":"finra-files-disciplinary-proceeding-against-broker-stewart-ginn-after-churning-allegations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-proceeding-against-broker-stewart-ginn-after-churning-allegations\/","title":{"rendered":"FINRA Files Disciplinary Proceeding Against Broker Stewart Ginn After Churning Allegations"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11323 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/01\/Blog-Graphics4.png\" alt=\"Stewart Ginn (CRD# 4503197, aka \u201cStewart Taylor,\u201d \u201cPaxton Ginn Jr\u201d) is a registered broker currently employed with Independent Financial Group, LLC (CRD# 7717) of Santa Maria, CA. His previous employers include Navian Capital Securities LLC (CRD#:145037) of Cincinnati, OH, Newbridge Securities Corporation (CRD# 104065) of New York, NY, and Chicago Investment Group, LLC (CRD# 11853, expelled by FINRA on 09\/14\/2010) of Chicago, IL. He has been in the industry since 2002.\n\nDuring his employment and registration with Independent Financial Group (IFG), FINRA alleges that Ginn churned and over-traded five accounts he acquired in 2019 following the sudden death of a fellow IFG broker. After buying the broker\u2019s book of business, he became the registered representative of record for those customers, including the five involved in the disciplinary action.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/01\/Blog-Graphics4.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/01\/Blog-Graphics4-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Stewart Ginn (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/4503197\" target=\"_blank\">4503197<\/a>, aka <em>\u201cStewart Taylor,\u201d \u201cPaxton Ginn Jr\u201d<\/em>) is a registered broker currently employed with Independent Financial Group, LLC (CRD# 7717) of Santa Maria, CA. His previous employers include Navian Capital Securities LLC (CRD#:145037) of Cincinnati, OH, Newbridge Securities Corporation (CRD# 104065) of New York, NY, and Chicago Investment Group, LLC (CRD# 11853, expelled by FINRA on 09\/14\/2010) of Chicago, IL. He has been in the industry since 2002. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-proceeding-against-broker-stewart-ginn-after-churning-allegations\/#more-11322\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Stewart Ginn (CRD# 4503197, aka \u201cStewart Taylor,\u201d \u201cPaxton Ginn Jr\u201d) is a registered broker currently employed with Independent Financial Group, LLC (CRD# 7717) of Santa Maria, CA. His previous employers include Navian Capital Securities LLC (CRD#:145037) of Cincinnati, OH, Newbridge Securities Corporation (CRD# 104065) of New York, NY, and Chicago Investment Group, LLC (CRD# 11853, [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[589,580],"tags":[],"class_list":["post-11322","post","type-post","status-publish","format-standard","hentry","category-churning-2","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Files Disciplinary Proceeding Against Broker Stewart Ginn After Churning Allegations<\/title>\n<meta name=\"description\" content=\"Stewart Ginn is a registered broker currently employed with Independent Financial Group, LLC (CRD# 7717) of Santa Maria, CA.\" \/>\n<meta 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CA.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/01\/Blog-Graphics4.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-proceeding-against-broker-stewart-ginn-after-churning-allegations\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-proceeding-against-broker-stewart-ginn-after-churning-allegations\/","name":"FINRA Files Disciplinary Proceeding Against Broker Stewart Ginn After Churning 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