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  • Colleen MacFarlane

Financial Fraud

F.I.N.R.A. Financial Industry Regulatory Authority: Prohibited Behavior

Recommending to a retail customer a securities transaction, investment strategy or

type of account that is not in the best interest of that customer, given the customer’s age,

financial situation, investment objective, risk tolerance, liquidity needs and investment

experience. Investment in a particular type of security may not be in the best interest

of the retail customer, or the amount or frequency of transactions may be excessive

and therefore, not be in the best interest for a given retail customer.


Log on to their website at, under the ‘Investors’ tab and read more about

How to file a complaint

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