A broker-dealer settled FINRA charges for omitting required disclosures on transaction confirmations related to exchange-traded notes and preferred securities.
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A dually-registered broker-dealer and investment adviser settled SEC charges for providing unsuitable recommendation on complex variable interest rate structured products to investors nearing retirement age.
A broker-dealer settled FINRA charges for supervision failures related to unsuitable recommendations involving variable interest rate structured products.
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.
A broker-dealer settled FINRA charges for failing to supervise a registered representative that engaged in unsuitable and unauthorized trading in a customer's account.