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While you never enter a relationship with your broker thinking it will
end in a dispute, it is always a good idea to be prepared. The more detailed
the records you keep, the greater the chances of
recovering your financial losses. According to the North American Securities Administrators Association
(NASAA), many state regulators have checklists you can use, to help you
keep good records. These checklists provide guidelines as to what information
needs to be collected from your broker, such as the date the conversation
with the broker took place and the proposed investment. You can contact
your state securities regulator to inquire about this checklist.
NASAA also has its own investor checklist, which includes the following:
By collecting this information and more, you can stay one step ahead if
a broker dispute arises. Whether you someday file a claim regarding the
unsuitability of an investment or
improper asset allocation, the more details you can provide during arbitration, the better.
Before doing business with any financial advisor or broker, make sure you
do your homework first.
For tips on what to look for and questions to ask, read our informative articles:
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Investment Misconduct Blog
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C. David Snyder, the former chief executive officer, president, and chairman of Attevo, Inc. was recently convicted on five counts of failure to pay over taxes and one count ...
The Securities and Exchange Commission (SEC) recently announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. more than $15 million over charges that its ...