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Stock Market Losses
All stock market investments entail some risk. However, in some cases, stock market losses can be recovered by the investor if impropriety on the part of the broker can be proved. Securities trading is regulated by the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD). Under those regulatory bodies, brokers must offer suitable, thorough advice to clients. Brokers may be liable for clients losses in cases where inappropriate, incomplete or false information is provided, or in cases where the broker mismanages accounts.
Fast Facts
| Issue name: | Stock market losses |
| Applicable law/agency: | Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD) |
| Related topics: | Securities, annuities, breach of fiduciary duty, churning, Edward Jones, failure to hedge, overconcentration/failure to diversify, failure to supervise, improper use of margin, theft, misrepresentation/omissions, retirement plans, securities unsuitability, selling away, unauthorized trading |
Stock Market Losses May Be Recovered
The Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) are two of the securities industry's regulatory bodies. The SEC is primarily responsible... read more
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News Articles Related to Stock Market Losses
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Useful Web Sites Related to Stock Market Losses
Anapol Schwartz, Securities Fraud Attorneys
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Wikipedia Entries Related to Stock Market Losses
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Books Related to Stock Market Losses
Stock Market Stratagem : Loss Control and Portfolio Management Enhancement
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