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Securities Fraud
Broker Due Diligence
Broker Due Diligence: Are your Investments Appropriate for you? Broker due diligence is a process undertaken by brokerage firms to ensure...
Breach of Fiduciary Duty
Breach of Fiduciary Duty – Is your Broker acting in your Best Interest? A breach of fiduciary duty occurs when someone who owes a...
FINRA RULE 3110 (SUPERVISION)
What is Failure to Supervise – FINRA Rule 3110? FINRA Rule 3110 (Failure to Supervise) requires a firm to establish and maintain a...
FINRA Rule 4512 Customer Account Information
What is FINRA Rule 4512? The Customer Account Information Rule – FINRA Rule 4512 was created by the Financial Industry Regulatory...
FINRA Rule 2090 Know your Customer
What is FINRA Rule 2090? FINRA Rule 2090, also known as the “Know Your Customer” rule, was created by the Financial Industry...
Annuity Investment Fraud
Annuity Investment Fraud According to an article in Financial Planning this week, we are in a “historic boom for annuities,” and...
