标记的文章美国北岸证券bob200体育

一位前美国北岸证券经纪人被禁止bob200体育金融业监管机构（FINRA）在他在公司客户的帐户中交易非传统交易所交易资金（ETF）之后，即使投资不适合他们。

According to the self-regulatory authority (SRO), Dominic Anthony Tropiano solicited the buying and selling of leveraged ETFs in at least 47 America Northcoast Securities customers’ accounts between 5/2015 and 4/2016, including 866 securities transactions involving 15 non-traditional exchange-traded funds.

在这些交易中，其中有33个是在一个客户的帐户中进行的。另外19个在另一个客户的帐户中发生。客户不知道这些交易将会发生，他们没有给予同意。