Stock broker churning lawsuit
May 15, Comments 0 Blog.
Be diligent and ask your broker about fees. Excessive trading can still happen even if the overall account value increases.
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Brokers have a fiduciary duty to make investment recommendations that are consistent with the clients net worth, investment experience and objectives. Risk tolerance, age, and liquidity needs also need to be considered.
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When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.
This information is publicly available and provided to you by The White Law Group. The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. MENU Securities Litigation Securities Fraud Securities Employment Common Claims FAQ Attorneys Publications Blog Securities Fraud Current Investigations Contact Us For A Free Consultation or May 15, Comments 0 Blog Investor Alert: Excessive Trading in your Brokerage Account.
Red Flags of Excessive Trading Churning If you notice unauthorized trades on your account statement. If the fees seem high or excessive. Recovery Options Brokers have a fiduciary duty to make investment recommendations that are consistent with the clients net worth, investment experience and objectives.
Recognizing Excessive Trading or Churning in your Brokerage AccountWhite Securities Law | Securities Fraud Attorneys and FINRA Arbitration Lawyers
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