Stewart Ginn


March 26, 2024

Type of alert:

Unauthorized Trading  

Unsuitable Recommendations  

Stewart Ginn, registered representative at Independent Financial Group, and formerly with Navian Capital Securities, is the subject of multiple investor suits and regulatory actions alleging broker misconduct, including unauthorized and excessive trading and unsuitable investment advice.

Excessive trading, or “churning,” (insert link: here) is a form of fraud where a broker makes frequent trades in a client’s account in order to generate commissions. Mr. Ginn’s trading activity allegedly generated millions of dollars in commissions for himself and his employer, all at his elderly and retired clients’ expense. Investors can read more about the allegations against Mr. Ginn on his BrokerCheck report, available here:

Churning is highly unethical and illegal. Investment professionals have a duty to only recommend suitable investment strategies and put their clients’ interests before their own. If you suspect your broker excessively traded your account to generate commissions, ChapmanAlbin can provide you with a free consultation to see if you have a case.

Contact Us If You Believe You Have a Case

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