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Tag: suitability

Blog, Securities Fraud Articles

Regal Securities Inc. Censured and Fined 

FINRA Sanctions Regal Securities for Supervisory Failures  According to the Financial Industry Regulatory Authority (FINRA), the self-...

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Blog

RBC Capital Markets Pays $300,000 plus Restitution  

FINRA Sanctions RBC Capital Markets for Unsuitable Short-term trading   According to public documents this week, the Financial Industry...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

Solicited Trades versus Unsolicited Trades 

Why does it Matter if your Trades are Solicited in a FINRA Claim? The White Law Group represents investors in claims against their...

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Blog, Securities Fraud Articles

List of the Largest Nontraded REITs

Investmentnews.com recently published a list of the largest non-traded REITs by invested assets. President of MTS Research Advisors gave...

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Blog, Securities Fraud Articles

Freddie and Fannie Preferred Stock Investments Recovery

Did you suffer losses due to your purchase of Freddie Mac or Fannie Mae preferred stock before the government intervention in the fall of...

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