Tag: FINRA know your customer rule
Unsuitable Investment Lawyer
Unsuitable Investment Lawyer Unsuitable investments refer to financial products that are not suitable for your investment goals, risk...
Unified Fiduciary Standard Coming?
The White Law Group continues to follow the SEC discussions regarding the development of a unified fiduciary standard in accordance with...
Fiduciary Duties of Broker Dealers & Investment Advisers
Dodd-Frank Wall Street Reform and Consumer Protection Act In the wake of the 2008 financial crisis, the Dodd-Frank Wall Street Reform and...
FINRA Rules Regarding Suitability
Securities Fraud Attorneys | Suitability Claims One of the main claims in any securities fraud case is regarding suitability (i.e., were...
