Dimond Kaplan & Rothstein, P.A. Attorneys At Law
Friday, July 4, 2008

Duties a Stock Broker Owes His Clients

Stockbrokers owe the following duties to their clients:

  • to recommend suitable investments;
  • to put the client’s interests before their own;
  • to disclose all important facts and not misrepresent important facts about investments; and
  • to transact business only after receiving the client’s authorization. 

The failure to meet these duties can have devastating financial consequences for investors.

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