Tadashi Okamoto

Tadashi Okamoto

Morrison & Foerster LLP

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Structured Thoughts: News for the financial services community Volume 9, Issue 6

SEC FINES BROKER-DEALER FOR UNSUITABLE SALES OF LEVERAGED ETNS - In September 2018, the SEC fined a New York-based broker-dealer in connection with unsuitable sales of leveraged ETNs linked to the price of crude oil....more

9/14/2018  /  Broker-Dealer , Capital Markets , ETNs , Securities and Exchange Commission (SEC) , Structured Financial Products
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