FINRA Reiterates Its Concern about Unsuitable Sales of Non-Traditional ETFs
By EsqSocial Corporation 06/12/13
FINRA recently announced a disciplinary proceeding that underscores its continuing concerns about unsuitable retail sales of structured products. In a recently settled formal disciplinary proceeding, FINRA censured a registered broker-dealer and...
By: Morrison & Foerster LLP - Broker-Dealer