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 www.finra.org, under the ‘Investors’ tab and read more about
How to file a complaint
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