The Broker’s Background: The Investor’s Right to Know Part II
February 9th, 2006 by
Theodore Eppenstein
Investor Access to Broker Information: Room for Improvement
In the NASD website’s section on “Common Investor Problems and How to Avoid Them,” the NASD cautions investors to “Make an informed decision before agreeing to allow the broker to use discretion in buying or selling your investments”; and “Before you make an investment, be prepared, do your homework, and don’t be caught off-guard. Investigate thoroughly any potential investment before you make it, as well as the broker and securities firm that are recommending it to you.” Read the rest of this entry »
Posted in Securities Arbitration & Litigation


