Broker Misconduct Securities Claims

1
(No Transcript)
2
Broker misconduct is a phrase used to describe a
situation where a broker fails to fulfill his or
her obligations to their client.
3
In order to protect clients, the Securities
and Exchange Commission and Financial
Industry Regulatory Authority has created strict
guidelines.
4
Essentially, brokers are responsible for ensuring
that client's investments are properly evaluated,
are suitable for the client and necessary
information is disclosed.
5
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
6
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.
7
Contact Us 5235 16th. Street north, Suite
200 St. Petersburg, FL 33703 Phone
727-315-1005 www.ludinlaw.com