The Complete Guide to Preventing and Resolving Brokerage Disputes

Broker-client conflicts and the procedures for resolving them can be complicated and costly. This American guide presents investors, stockbrokers and lawyers with the technical, financial, legal, and ethical considerations that govern the broker-client relationship. It explains the rights and responsibilities of all parties, and outlines procedures for resolving disputes fairly. The book addresses proper and improper methods of solicitation, determination of suitability of investments, account management, buying on margin, security industry rules and regulations, and legal remedies and procedures. The text will be of benefit to stockbrokers, investment advisors, lawyers, investors and students.