Broker Disputes

This section of FreeAdvice contains reliable information and advice about when and how to approach a broker dispute. A broker is someone you entrust with the management of your investment portfolio; but when a broker abuses this trust, you may find yourself in a dispute and it is important to understand your rights.

Many financial and investment products are not sold directly to the public but are instead only available for purchase through brokers. Brokers are governed by agencies such as the U.S. Securities and Exchange Commission and the National Association of Securities Dealers, which ensure that brokers act in their customers' interests. Disputes arise when a broker fails to meet the reasonable expectations of the consumer as supported by the law. The body of financial law that specifically governs broker disputes addresses prohibited behaviors like fraud, and allows consumers to file claims against fraudulent brokers. To learn more about the area of law dealing with broker disputes, and for advice on how to protect yourself, refer to the articles in this section.