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: Securities Law Prof Blog

FINRA Brings Fraud Charges Against Brookstreet Securities Brokers for Sales of CMOs to Retail Investors

By Securites Lawprof

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FINRA today announced charges against six brokers formerly associated with Brookstreet Securities Corporation, a now-defunct nationwide brokerage firm based in Irvine, CA, including fraud and making unsuitable recommendations to retail customers in the sale of collateralized mortgage obligations (CMOs). FINRA's...

Full post as published by Securities Law Prof Blog on May 28, 2009 (boomark / email).

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