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Page 7 of 19 |
What documents should I save to use if a dispute arises? |
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Save the following documents:
(a) all agreements with your brokerage firm;
(b) all documents you provide to the broker or the brokerage firm, showing your investment objectives, investment history, and net worth;
(c) all monthly account statements with all brokerage firms;
(d) all confirmation slips (whether you "buy" or "sale" securities). You also want them for tax purposes;
(e) year-end transaction and portfolio summaries; tax returns for all applicable years; and letters between you and the broker or brokerage firm, including all correspondence reflecting complaints or any wrong doing;
(f) all other mail or letters sent to you or sent by you to the brokerage firm. |
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