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Unsuitability in
Investments:
Unsuitable investments
A
stock broker may legally only make investment recommendations that
are in the client's best interests, i.e. in line with investment
objectives, needs and risk tolerance. Investments that meet any of
the following criteria might be considered unsuitable and may make
the stock broker liable.
1.
Investments that ask the client to assume a greater financial risk
than he or she can reasonably sustain.
2.
Investments that are inconsistent with the clients financial
needs.
3.
Investments in which the client is not adequately made aware of
the risks involved.
Some
classic examples of unsuitable investments
1.
Taking monies from dividends and putting them in high risk stocks
such as option accounts or technology stocks when the client is
older, unwell or in a situation in which he or she must have a
steady income.
2.
Putting tax free accounts into accounts that are already tax free.
For example, putting municipal bonds into an IRA account.
3.
Pressuring a client to make an investment that is not in his or
her best interest but because the brokerage is under contract to
sell the stock. Other examples of this can occur when a broker is
trying to push a stock that his firm has underwritten or in order
to artificially inflate the price of the stock as part of a fraud
scheme. The financial damage incurred by investors lured into
hyped stocks by defrauders has been astronomical.
Do
you need a Securities Fraud Attorney or Lawyer?
Let us help you
recover your losses. Get Help with Securities Fraud Now!
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Mission is SIMPLE:
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of the Mistakes of a few from being Repeated by Many"
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The
individuals and entities listed herein have either been
implicated, indicted, convicted, suspected, believed or are
under investigation by various governmental regulators,
investigators, CID (Criminal Investigation Division) law
enforcement officers for involvement in fraudulent business
practices including without limitation Securities Fraud,
Violations to Securities Laws, Purposeful malicious actions
involving investment activities and business schemes.
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site is dedicated to all the victims of Securities Fraud....
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thank the founder of this site for his contribution to ending
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Investors, and willing to work with our Organization and Clients
Please email your personal and firm's profile to:
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