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Excessive Activity

Account activity that exceeds the investment profile and risk tolerance of the customer is deemed excessive activity. A brokerage firm's primary motivator in generating account activity is to generate outsized trading commissions in the customer's account.

To establish a claim of excessive activity typically requires an account analysis and calculation of annualized turnover rates and rates of return required for an account to break even to cover the commissions charged by the brokerage firm.


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