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Especially in a time when the market is volatile, and both investors and
financial advisors are scrambling to protect their investment, the door
opens wide for investment misconduct. In times of trouble, the likelihood
that a broker will make an
unsuitable investment recommendation increases dramatically. When your broker recommends an investment, you
trust him or her to choose investments that are suitable for you and your
A couple of examples of suitability can be the following:
You broker should look at any investment in light of your needs before
recommending it. If your broker fails to research the product, offers
a product to you that doesn't match your financial needs, or recommends
an investment for which he receives an incentive without considering if
it is right for you, then you may have an unsuitability claim.
If you suspect your broker made an unsuitable investment recommendation,
you may have one of the following claims:
It can be a fine line, and even if a firm's agreement doesn't say
a fiduciary duty is owed, the circumstances may dictate otherwise. If
you are pursuing a suitability claim, it is highly recommended that you
contact an experienced investment misconduct attorney who can examine
your specific case and explain your options for recovery.
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Investment Misconduct Blog
Fifth Third Securities, Inc. was fined by the Financial Industry Regulatory Authority (FINRA) earlier this week for $4 million and was ordered to pay restitution of $2 million ...
Ethan De Naray, currently a registered broker with Feltl & Company, was terminated from his position with Merrill Lynch in May of 2017 after allegedly using discretion in ...
A new bill called the Compensation for Cheated Investors Act would require FINRA to pay investment losses back to investors from a pool of funds. Unpaid arbitration awards ...