Open Accessibility Menu
Overconcentration of Investment Portfolios

Overconcentration of Investment Portfolios

A broker's fiduciary duty to an investor may include: the duty to place the client's interests ahead of the broker's or the brokerage firm's interests, the duty to monitor the changing markets for impact on the client's interest, the duty to act responsibly and with due care in serving the client's interests, the duty to advise the client on the potential benefits and risks involved with broker recommendations/actions, and the duty to keep the client abreast of all transactions that affect the client's interests.