Scotttrade Inc
Prohibited Conduct - Certain types of conduct in the securities industry are prohibited, including the following

I Quote From http://www.finra.org/Investors/ProtectYourself/BeforeYouInvest/ProhibitedConduct/

"Prohibited Conduct:
Certain types of conduct in the securities industry are prohibited, including the following:

1. Recommending to a customer the purchase or sale of a security that is unsuitable given the customer's age, financial situation, investment objective and investment experience.investment in a particular type of security may be unsuitable, or the amount or frequency of transactions may be excessive and therefore unsuitable for a given customer.

2. Purchasing or selling securities in a customer's account without first contacting the customer and receiving the customer's authorization to make the sale or purchase, unless the broker has received from the customer written discretionary authority to effect transactions in the account or the broker was given discretion as to price and time.

Company: Scotttrade Inc
Country: USA
State: Missouri
City: St. Louis
Address: 12800 Corporate Hill Drive
Phone: 3149651555

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