Posts Tagged: securites fraud

SEC exec recognizes some brokers don’t even understand all the products they’re selling

Financial conflicts of interest are rampant with both big and small broker-dealers. This results in broker-dealers selling products without adequate due diligence or even reckless or fraudulent due diligence.    This often leads to financial advisors selling products without adequate or accurate information and, at times, selling products they don’t even understand.  An SEC executive seems… Read more »