Tag: suitability
Regal Securities Inc. Censured and Fined
FINRA Sanctions Regal Securities for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the self-...
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...
FINRA Rule 4512 Customer Account Information
What is FINRA Rule 4512? The Customer Account Information Rule – FINRA Rule 4512 was created by the Financial Industry Regulatory...
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...
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...
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...
