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Tag: FINRA Rule 2111

Blog, Securities Fraud

Unsuitable Investment Lawyer  

Did your Broker recommend an Unsuitable Investment? FINRA Rule 2111 requires that a firm or its representative have a reasonable basis to...

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Blog, Securities Fraud

Financial Advisors Duties:  Suitability & Tax Consequences

Does a financial advisor have to factor in taxes when making a recommendation? Before recommending an investment, financial advisors are...

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Blog, Securities Fraud

FINRA Rule 2111 regarding Suitability

Financial Industry Regulatory Authority Inc.’s Rule 2111 covers general suitability for recommended transactions and investment...

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Blog, Securities Fraud

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...

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