What Is Securities Fraud?
Generally, when a financial professional encourages a client to invest in unnecessarily risky ventures that devalue the client's assets or when the financial professional acts …
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How can I tell if I`ve been a victim of a stock fraud?
Every case is different but when a stock has dropped, your loss may be due to fraud when Company executives misrepresented facts relating to important aspects of the business, or held off revealing …
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What is an unsuitable recommendation?
When you ask your stock broker for advice, you trust that they are giving you the best information for your specific situation. However, sometimes a broker will "hard …
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Stock Broker Ethics
Ultimately, the decision is yours. You decide how and when to invest your money in stocks. However, many people rely on the advice of their stock broker when they make decisions about which stocks to buy or sell. Is that reliance ill advised or do stock brokers have obligations to their clients? While stock brokers are not typically responsible for any investment losses incurred …
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