Coronavirus

• May 10, 2020 FINRA: LPL Financial Unsuitably Sold Elderly Clients Risky REITs After Broker Lied About Customers' Net Worth

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• Apr 25, 2020 Lost Money in Risky Oil & Gas Investments During COVID-19? We're Investigating Claims

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• Apr 24, 2020 Brokerages Stop Risk-Laden REIT Sales After Massive Coronavirus Losses

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• Apr 6, 2020 Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic

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• Apr 1, 2020 Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients

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• Apr 1, 2020 Corona Virus Plagues Risky Structured Products, Reverse Convertibles

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• Mar 31, 2020 Exchange-Traded Notes At Heightened Risk Due to COVID-19's Market Volatility

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• Mar 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall

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• Mar 27, 2020 Excess Concentration Can Prove Disastrous During Economic Downturn

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