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Tag: FINRA suitability rules

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 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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Blog, Securities Fraud

FINRA Rules on Private Placements

Private Placements have become a hot button issue for FINRA regulators and securities attorneys representing investors.  The number of...

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Blog, Securities Fraud

Significant FINRA Rules Applicable to Securities Fraud/Customer Dispute Claims

2010. Standards of Commercial Honor and Principles of Trade A member, in the conduct of its business, shall observe high standards of...

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