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Stockbroker Misconduct
Are titles an accurate way to evaluate the knowledge of brokers?Many stock brokers have various different titles and certifications after their name. However, it's important…
Can brokerage firms be held responsible for the actions of their brokers or employees?Generally, a brokerage firm is responsible for the acts of their financial advisors. In fact,…
Can I move my investments while my securities case is pending?The decision as to whether or not to move your account from your current financial…
Does a high level of trading create a cause of action against the broker?A high level of trading in a customer account frequently serves as a red flag…
Does a stockbroker owe a different standard of care than other financial advisors?There are various kinds of financial advisors in this country. The 2 most well known…
How can I investigate the background of a broker?To investigate the background of your broker there are several different resources you could check.…
How can investors determine if their account has been churned?An investor can determine if his account has been churned by a variety of different…
It seems like I have been sold a big portion of one product or investment. Could that be a problem?Yes. This generally refers to over-concentration and might be unsuitable in and of itself. While…
My broker is saying I should buy on margin. What does that mean?Margin generally refers to when a brokerage firm lends you money to buy additional securities.…
What are Long Island boiler rooms?Over the years, many small brokerage firms had been opened up on Long Island and…
What are some typical FINRA sales practice violations?There's no question that Wall Street is a financially incentivized business. We see many different…
What does suitability mean in a securities arbitration case?The suitability rule is the foundation upon which the security's industry rules and regulations are…
What is a brokerage firm's duty to supervise?Wall Street is heavily regulated and all brokerage firms are required to have in place…
What is a specific example of suitability?Wall Street is generally guided by the underlying principle that all investments must be suitable…
What is negligence?A financial adviser has a duty to only make suitable recommendations to his clients. In…
What is the difference between a misrepresentation and an omission?A misrepresentation and an omissions are two sides of the same coin. A misrepresentation is…
What is the stockbroker's duty with respect of making suitable recommendations to a customer?The securities industry is generally governed by what's called a suitable standard that a broker…
What should I do if my stock broker is accused of misconduct?If your financial adviser is accused of misconduct, it's important to seek out legal counsel…
What should I look for when hiring a broker?When hiring a new financial advisor, a client needs to think about what they are…
What tactics are considered manipulative, deceptive, or fraudulent?The securities markets are established on a foundation of full and fair disclosure to the…
