A broker-dealer settled FINRA charges for supervision failures related to unsuitable recommendations involving variable interest rate structured products.
News & Insights
14 News Results
A broker-dealer settled FINRA charges for failing to implement a supervisory system reasonably designed to monitor the suitability of recommendations in complex, non-traditional exchange-traded products.
FINRA is seeking input on further measures that FINRA might impose on the sale of "complex" financial products.
A FINRA-registered representative settled charges for suitability rule violations.
A firm settled FINRA charges for suitability and supervisory violations related to the sale of non-traditional and volatility-linked exchange traded products.