Securities LawyerGalvin Legal can help investors who have suffered investment losses recover anywhere in the United States.
Galvin Legal is a full service securities litigation, arbitration, and mediation law firm that focuses on the representation of investors who have been defrauded by their broker-dealer, Securities Lawyer with employment related litigation and promissory note issues, and broker-dealers requiring regulatory defense, compliance consulting, and other legal services. Broker-dealers and connected persons have three main suitability obligations. First, the reasonable-basis obligations requires that there be a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors. Second, the customer-specific obligation requires that there be a reasonable basis to believe that the recommendation is suitable for a particular customer based on that customer's investment profile. Finally, quantitative suitability requires that a broker-dealer or associated person who has actual or de facto control over a customer account to have a reasonable basis for believing that a series of recommended transactions, even if suitable on their own, are not excessive or unsuitable for the customer taken together.
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October 2017
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