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Tag: know your customer rule

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 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

FINRA Know Your Customer Rule

Financial Advisors have a fiduciary duty to research investments and to make sure that every investment they recommend is suitable for the...

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