A broker-dealer settled FINRA charges for failing to review the suitability of investment recommendations in non-traded Real Estate Investment Trusts and for failing to timely respond to relevant customer complaints.
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A firm settled FINRA charges for suitability and supervisory violations related to the sale of non-traditional and volatility-linked exchange traded products.
A firm settled FINRA charges for failing to reasonably supervise a representative's alternative investment recommendations for certain customers.