Select a topic below:
( Green: Current Location)

• Introduction
• Background
• Fraud by Conduct
   • Churning
   • Switching
   • Twisting
   • Other
• Fraudulent Acts   and Practices
• Suitability
• Unregistered
  Securities
• Conclusion

Fraud by Conduct

Fraud by conduct of a broker/dealer or its salespersons includes, but is not limited to, churning accounts, switching mutual funds, twisting variable insurance products, and recommending unsuitable investment strategies.

Next topic: Fraud by Conduct: Churning