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The attorneys at Eppenstein and Eppenstein, securities, commodities and hedge fund fraud lawyers, have extensive experience representing investors in actions against securities and commodities brokers and broker dealers. We have successfully recovered millions of dollars in assets for investors. We are qualified to represent your interests whether you are national or international investors or creditors in securities fraud and commodities fraud matters.

Eppenstein and Eppenstein is a respected New York-based securities fraud and commercial litigation law firm with a global practice, widely known nationally and in the international community for protecting the rights of defrauded investors and businesses, as well as for obtaining record-setting arbitration awards for our clients. The firm's Securities Law Arbitration website traces our 25 year history of successful representation of investors. Contact us today to discuss your potential claims.

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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