When a Registered Representative makes an investment recommendation to an investor, that recommendation must be suitable to that investor's needs. Determining suitability is not an exact science. However, it can be achieved by analyzing many different factors unique to that particular investor. Factors such as age, investment experience, time horizon, employment status, net worth, risk tolerance, and others combine to give the Representative a picture of what investments are suitable to that particular investor. When losses occur because recommendations are made without having obtained this necessary information, or if the recommendations are not suitable from an objective standpoint, investors have the right to file a claim to attempt to recover their losses from the unsuitable investments.

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