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Obligations of a Stockbroker

Stockbroker's Obligations to Customers Read More

The Financial Industry Regulatory Authority (“FINRA”) proposed to increase the fees firms, and stockbrokers pay when seeking to expunge customer complaints from brokers’ regulatory records on BrokerCheck.

FINRA has proposed to the Securities and Exchange Commission to amend its arbitration codes mandating stockbrokers or their firms to pay a minimum of $9,475 in filing and processing fees Read More

How Stockbrokers Protect Accounts When Switching Brokerage Firms

Stockbrokers should memorialize in their employment agreement with the brokerage firm clarifying and defining who the customer belongs to and the scope of solicitation. It is worthy to note financial rules, industry Read More

The Importance of New Account Document Information

The Importance of New Account Information in Knowing Securities Customers Read More

Viewing 1 - 4 out of 4 posts

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