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2 results for: finra

7/23/2025 9:54:26 PM

Broker-Dealer Liability Risks in Elder Financial Exploitation Cases

By David Goldberg Susan Light Patrick Smith +2 more...

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly...

5/2/2022 4:14:28 PM

By Susan Light

FINRA recently issued Regulatory Notice 22-08, which Reminds Members of Their Sales Practice Obligations for Complex Products and Options...