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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.
Fast Facts
| 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 |
Securities Unsuitability
Every investor has unique financial objectives and goals, resources, and risk tolerance. A broker is obligated to provide recommendations that are consistent or suitable with... read more
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Videos Related to Securities Unsuitability
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News Articles Related to Securities Unsuitability
Notice to All Investors Who Purchased Regions Morgan Keegan Bond Funds
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Useful Web Sites Related to Securities Unsuitability
Anapol Schwartz, Securities Fraud Attorneys
Burg Simpson, Securities Attorneys
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Wikipedia Entries Related to Securities Unsuitability
U.S. Securities and Exchange Commission
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Books Related to Securities Unsuitability
Attorneys Handbook on Consumer Bankruptcy and Chapter 13
Living Wills and Enduring Powers of Attorney: Make Your Wishes Known (You Need This Book First)
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