Robert Estevez—Recommending Unsuitable Transactions

by Alan Rosca
Robert Estevez Allegedly Recommended Unsuitable Steepener Transactions in Customer Accounts Robert Estevez allegedly recommended unsuitable steepener transactions in customer accounts, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). Steepener accounts involve highly leveraged purchases of short-term bonds and bearish bets on long-term bonds with the ...Read the full article