A person that is legally tasked with managing the money of another
individual is said to have “fiduciary duties” to the individual whose money
t...
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Under
the “shingle theory”, financial advisors, analysts, and brokers entering into a
relationship with a customer under the title of an investm...
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As
investor, taking on risk is the nature of the game, but risks at your expense
via illegal or unethical decisions by your broker or dealer are not...
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Broker misconduct occurs when stock brokers commit stock fraud for the
benefit of themselves or the benefit of their clients. The clients of stock
b...
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Under both federal and state laws,
individuals and entities must be registered with Securities and Exchange
Commission and the applicable state agen...
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Inside
every brokerage firm, internal controls and accountability systems must be in
place to ensure that all information being passed along is corr...
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Misrepresentation
and omissions are two integral claims that must be substantiated to prove
securities fraud. Essentially,
securities trading are...
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Overconcentration
occurs when a broker or brokerage firm fails to diversify an investor’s
portfolio holdings, while placing too large of a percent...
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Trading on margin accounts has led
to some spectacular returns for investors, but more often than not, investors
find themselves at a total loss of ...
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In the world of stocks, bonds, and securities, the term churning is utilized
as a distinct label for fraudulent activity or abuse of the stock marke...
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Millions of dollars in stocks are traded in the stock market on a daily
basis.
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Stockbrokers are required to have their client's best interest in mind and to
only recommend investments that are suitable for the clients.
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Has a stock broker invested your money into a risky stock against your
wishes? A stock broker is supposed to keep the investor's best interests at
...
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Failure
to execute trades, also known as a failure to follow directions, occurs when a
broker does not execute a trade ordered by an investor. Oth...
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Unauthorized
trading on an investor’s account, which is also known as churning, usually
entails some form of excessively trading securities for re...
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Unsuitability
claims occur when an investor feels their broker recommended and lead them to
agree to certain investment vehicles, which were not in ...
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