1 / 7

Broker Misconduct Securities Claims

http://ludinlaw.com/broker-misconduct-securities-claims/ - If you, or somebody you know has lost money in an investment due to broker misconduct, please contact the securities attorneys at Ludin Law to learn how we can help you recover you investment.

Ludinlaw
Download Presentation

Broker Misconduct Securities Claims

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. Broker misconduct is a phrase used to describe a situation where a broker fails to fulfill his or her obligations to their client.

  2. In order to protect clients, the Securities and Exchange Commission and Financial Industry Regulatory Authority has created strict guidelines.

  3. Essentially, brokers are responsible for ensuring that client's investments are properly evaluated, are suitable for the client and necessary information is disclosed.

  4. The most common forms of broker misconduct reported include: - Recommending Unsuitable Investments - Churning / Excessive Trading - Failure to Follow Client's Instructions - Unauthorized Trading - Margin Abuse - Negligence

  5. If you, or somebody you know has lost money in an investment due to broker misconduct, please contact the securities attorneys at Ludin Law to learn how we can help you recover you investment.

  6. Contact Us: 5235 16th. Street north, Suite 200 St. Petersburg, FL 33703 Phone: 727-315-1005 www.ludinlaw.com

More Related