Brokers
-
Do brokers need authorization?
-
Why do brokers sell away?
-
What is a registered investment adviser?
-
What is the difference between fee-only and fee-based brokers?
-
Should I listen to my broker if he/she is recommending margin trading?
-
Why is it important to know how my broker or financial advisor gets paid?
-
My financial adviser has quite a few credentials. Does that mean he has
more experience and knowledge than other financial professionals?
-
I really want to invest, but I'm afraid brokers will take advantage of
my lack of experience. How can I keep my money safe and avoid getting
mixed up in an investment scam?
-
My broker did not inform me of the risks associated with margin trading.
I have lost money as a result. Can I hold the brokerage liable?
-
I know avoiding securities fraud has a lot to do with finding out more
about my broker, but what does my broker or financial advisor actually
need to know about me?
-
What is a broker CRD number?
-
Why are CRD numbers important?
-
I think my stockbroker misrepresented an investment. What do I have to
do to prove it?
-
My broker invested a large percentage of my portfolio in one asset class.
As a result, I have lost a significant amount of money. Who is responsible?
-
How do I know if my broker was negligent?
-
I feel that the brokerage firm was not adequately supervising my broker
and that is why I lost money on my investments. What should I do?
-
My broker didn't explain the potential risks involved in the investment
he recommended. I ultimately lost money. Can I hold the brokerage firm
responsible?
-
My broker recommended an investment that didn't fit my financial situation
and I lost money. Can I hold the brokerage firm responsible?