Articles Posted in Karen Geiger

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Geiger (Geiger), previously associated with Cape Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Geiger recommended unsuitable investments in different investment products including debt securities among other allegations…

All brokers and broker-dealers have an obligation to ensure that their investment or investment strategy recommendation is suitable for the customer.  All sales efforts must be reasonable and appropriate for the investor based upon the investor’s risk tolerance, investment objectives, age, financial circumstances, other investment holdings, experience, and other facts…