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Page 17 of 19 |
What are investors’ typical claims against brokers? |
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Problems that generally arise in the broker-client relationship occur in these areas:
(1) false or misleading information that induced you to trade (fraud);
(2) excessive trading to generate more commissions for the broker (known as "churning");
(3) trading without your authorization;
(4) sending you a confirmation when you have not agreed to buy the stock (known as a "wooden ticket");
(5) recommending excessively risky investments for your circumstances ("unsuitability");
(6) forgery or theft;
(7) distributing misleading investment documents; and
(8) negligent or unsuitable recommendations. |
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