How to Keep From Going Broke with a Broker

Have you placed or are considering placing your investment assets with a broker? If the answer is “yes ” then what do you really know about the broker and the duties and responsibilities associated with this relationship? If the answer is “not much ” or “nothing at all ” then you are looking at the right book. The author with over twenty-five years experience inside the brokerage industry and as an attorney representing the rights of investors takes you inside the broker/client relationship so that you can become an intelligent and informed consumer of brokerage products and services. You will learn: · What to look for in choosing a broker · What to expect from a broker in terms of advice and recommendations · The types of and importance of documents associated with opening and maintaining a brokerage account · Cautions or “red flags” which could indicate that something is wrong in your account · What you can do if you believe you have been the victim of broker misconduct Richard A. Le