Top Unsuitable Recommendations | Goldman, Scarlato & Penny P.C.

Unsuitable Recommendations



Securities broker-dealer firms and professionals have a duty to only recommend to their customers investments that are suitable for those customers’ investment profiles, experience, and risk tolerance.

The securities regulators have enacted extensive suitability rules and regulations applicable to a broker’s recommendations with regards to specific investments. Brokers must ascertain the suitability of investments for each individual customer, based on factors such as:


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Resource URL:- https://investorlawyers.org/practice-areas/unsuitable-recommendations/


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