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Finra warns that fine relating to sales of reverse convertibles may be first of many

Author: Clare Dickinson

Source: Structured Products | 03 Mar 2010

Categories: Structured Products

Topics: Reverse convertible, Broker-dealers, Financial Industry Regulatory Authority (Finra)

Jim Shorris, Finra

The first fine resulting from the misselling of reverse convertibles to retail investors in the US could be one of many as brokers are failing to adequately...

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Finra warns that fine relating to sales of reverse convertibles may be first of many

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