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Page 19 of 35 |
Suppose a broker defrauds me? |
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You would have rights to recover from the broker's firm and the broker who defrauded you both under the Federal Securities laws, and the appropriate state's laws.
While securities brokers and dealers are subject to regulation both by the SEC and state regulators, and by the National Association of Securities Dealers and the Stock Exchanges the firm belongs to, and you may wish to file a complaint with them, their focus is usually on disciplining the broker and his or her firm to prevent future misconduct, not on recouping your investment.
If you believe you were harmed financially by any deceptive, misleading, fraudulent or manipulative act by a broker, you should see our section on Broker Disputes which suggests several approaches to obtaining recourse against the broker and his or her firm, and retain an attorney to assist you in pursuing your claim. |
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