Do Your Clients Know Their Rights Regarding Brokerage Account losses?

Graham, Jan
May 2013
Utah Bar Journal;May/Jun2013, Vol. 26 Issue 3, p38
Academic Journal
The article focuses on the rights of customers regarding brokerage account loses due to mismanagement or fraud by the professionals. It informs about the introduction of the U.S. Financial Industry Regulatory Authority (FINRA), to protect the unsuspecting investors from unsafe or unwise investments. It also informs of the Utah Uniform Securities Act to prosecute the cases when sale of an investment has been made based on misrepresentation or omission of a material fact.


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