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Securities Unsuitability

The Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD), and other regulatory bodies require brokers to offer suitable advice when dealing with clients. Brokers must learn about the investor's financial condition, tolerance for risk to determine what strategy would best serve a client's portfolio. Investors who suffer a loss of value of securities because of unsuitable advice may be able to file legal claims against the broker who provided it.

Fast Facts

Issue name: Securities unsuitability
Applicable law/agency: Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD)
Related topics: Securities, breach of fiduciary duty, Edward Jones, misrepresentation/omissions, overconcentration/failure to diversify, stock market losses, unauthorized trading
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Securities Unsuitability

Every investor has unique financial objectives and goals, resources, and risk tolerance. A broker is obligated to provide recommendations that are consistent or suitable with... read more

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Videos Related to Securities Unsuitability

Unsuitability Fraud

Unauthorized Trading Lawsuits

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News Articles Related to Securities Unsuitability

Law Office of David R. Chase, P.A. Files Two FINRA Arbitration Claims Against Charles Schwab & Co. Seeking Expedited Hearings for the Benefit of Two Elderly YieldPlus Fund Investors - MarketWatch

Avelino & Associates, P.C. Files Another FINRA Arbitration Claim Against Charles Schwab & Co. - MarketWatch

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Useful Web Sites Related to Securities Unsuitability

Burg Simpson, Securities Attorneys

Anapol Schwartz, Securities Fraud Attorneys

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Wikipedia Entries Related to Securities Unsuitability

U.S. Securities and Exchange Commission

Financial Industry Regulatory Authority

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Books Related to Securities Unsuitability

Attorneys Handbook on Consumer Bankruptcy and Chapter 13

The art of trial advocacy : An article from: The Army Lawyer

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