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: Securities Law Prof Blog

FINRA Fines Former Ferris Baker Watta for Unsuitable Sales of Reverse Convertible Notes

By Securites Lawprof

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FINRA announced earlier this week that it fined the former Ferris, Baker Watts LLC, acquired by RBC Wealth Management, $500,000 for inadequate supervision of sales of reverse convertible notes to retail customers as well as unsuitable sales of reverse convertibles...

Full post as published by Securities Law Prof Blog on October 22, 2010 (boomark / email).

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