Securities Fraud and Mismanagement

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structured notes

Steepener Note Losses, Investors Capital or Trident Partners

by Jeff Pederson | Oct 6, 2016 | Uncategorized

Investors Capital Corp., a Cetera subsidiary, agreed to pay $1.1 million to settle Finra charges that it recommended unsuitable short-term trades in complex products to clients including steepener notes. Trident has agreed to pay a $50,000 fine. For more information,...

Securities Fraud and Mismanagement

Attorney and Counselor at Law

303-300-5022 / 844-253-5858 Toll Free

structured notes

Steepener Note Losses, Investors Capital or Trident Partners

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