Suitability

Posts In Suitability

Broker-Dealer's Due Diligence Duties for Private Placements Require Research and Supervision Mar 31
Over the past year, FINRA reminded broker-dealers of their responsibilities when selling private ...
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While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales Mar 26
Calton & Associates president Dwayne Calton said in a March 2021 interview that the firm anticipates ...
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The Logan Group Securities Cited for Multi-Share Class Variable Annuity Violations Mar 25
FINRA fined and censured The Logan Group of Roseville, California for failing to establish, ...
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JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders Mar 23
FINRA fined and suspended former JP Morgan Securities Managing Director Trevor Bradner Rahn of the ...
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Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures Mar 22
FINRA censured Growth Capital Services of San Francisco, California and fined the firm $35,000 for ...
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Unsuitably Risky SPACs, "A License to Rip Investors Off," Rile SEC and FINRA Regulators Mar 11
With starpower ranging from Shaquille O'Neal to Serena Williams touting a little-known investment ...
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