Broker/Brokerage Firm Misconduct

Information may not be reliable

Broker misconduct generally falls into two categories (1) self-dealing and (2) failure to make suitable investment decisions for a customer. The rules, regulations and standards governing securities transactions are, however, complicated to say the least. A variety of abusive and unsuitable conduct may be occurring or may have occurred in your brokerage account without you having the slightest notion that wrongdoing may have taken place.