Broker-Client Relationship

The stockbroker-client relationship is unique and is designed to benefit and protect the investor. Many states impose a fiduciary duty upon stockbrokers who make recommendations and investments...

Protecting Yourself From Loss

The first step in protecting yourself from investment losses is to get as much information as possible. This means doing some research before you invest. Start off by getting familiar with who you are doing business with...

Can You Recover?

There are a number of instances where investment losses are recoverable. These cases fall broadly under three categories: excessive trading, unsuitable investments and misrepresentations...