A broker-dealer settled FINRA charges for failing to supervise several registered representatives who recommended potentially high-risk securities to customers without assessing suitability.
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A broker-dealer settled FINRA charges for failing to supervise two of its registered representatives that made unsuitable investment recommendations.
The SEC Office of Investor Education and Advocacy cautioned investors of the risks involved in purchasing securities sold in private placements.
The North American Securities Administrators Association urged investors to be cautious of "finfluencer" marketing on social media.
A broker-dealer settled FINRA charges for attempting to influence the market for securities offered by the firm’s corporate affiliates and investment banking clients.