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FINRA Head Explains Perils of Complex Investment Products

October 31, 2012 by lmitchum

Richard G. Ketchum, Chairman and CEO of FINRA, appeared before the securities industry trade group SIFMA at its Complex Products Forum on September 27, 2012 in New York to admonish brokerage firms about the perils and obligations involved in marketing complex investment products to investors. According to Ketchum, while there is no legal definition of […]

Filed Under: Blog Tagged With: asset-backed securities, Atlanta investment fraud attorney, Atlanta Securities arbitration attorney, Atlanta securities law firm, Atlanta Securities Lawyers, Atlanta stock fraud attorney, Collateralized Debt Obligations, complex investment products, FINRA, leveraged and inverse ETFs, structured notes

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