{"id":386,"date":"2016-10-08T15:38:48","date_gmt":"2016-10-08T19:38:48","guid":{"rendered":"http:\/\/elderfinancialfraudattorneys.com\/?p=386"},"modified":"2018-10-04T15:54:09","modified_gmt":"2018-10-04T19:54:09","slug":"in-august-2016-finra-filed-a-formal-complaint-against-a-broker","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-august-2016-finra-filed-a-formal-complaint-against-a-broker\/","title":{"rendered":"In August 2016, FINRA filed a formal complaint against a broker"},"content":{"rendered":"<p>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.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>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 [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1101],"tags":[],"class_list":["post-386","post","type-post","status-publish","format-standard","hentry","category-recent-investigations"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>In August 2016, FINRA filed a formal complaint against a broker &#8212; Securities Arbitration Lawyers Blog &#8212; October 8, 2016<\/title>\n<meta name=\"description\" content=\"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 &#8212; October 8, 2016\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/in-august-2016-finra-filed-a-formal-complaint-against-a-broker\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"In August 2016, FINRA filed a formal complaint against a broker &#8212; 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