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Securities Unsuitability

Issue name:	Securities Unsuitability
Applicable law/agency:	Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD)
Related topics:	Securities, Breach of Fiduciary Duty, Edward Jones, Misrepresentation/Omissions, Overconcentration/Failure to Diversify, Stock Market Losses, Unauthorized Trading

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Securities Unsuitability

The Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD), and other regulatory bodies require brokers to offer suitable advice when dealing with clients. Brokers must learn about the investor's financial condition, tolerance for risk to determine what strategy would best serve a client's portfolio. Investors who suffer a loss of value of securities because of unsuitable advice may be able to file legal claims against the broker who provided it.

Securities Unsuitability

Every investor has unique financial objectives and goals, resources, and risk tolerance. As a result, investors have lost a disproportionate amount of their assets in the recent market downturns. A number of rules of the exchanges and professional organizations are in place to protect the investor. read more

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Securities Unsuitability Videos

Unsuitability Fraud

Unauthorized Trading Lawsuits

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Securities Unsuitability News Articles

Walter Pavlo - White-Collar Crime - Forbes

Bill Singer - Street Sweeper - Forbes

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Securities Unsuitability Useful Web Sites

Anapol Schwartz, Securities Fraud Attorneys

Cohen Placitella and Roth, Securities Unsuitability Attorneys

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Securities Unsuitability Wikipedia

U.S. Securities and Exchange Commission

NASD

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