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Stock Market Losses

All stock market investments entail some risk. However, in some cases, stock market losses can be recovered by the investor if impropriety on the part of the broker can be proved. Securities trading is regulated by the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD). Under those regulatory bodies, brokers must offer suitable, thorough advice to clients. Brokers may be liable for clients losses in cases where inappropriate, incomplete or false information is provided, or in cases where the broker mismanages accounts.

Fast Facts

Issue name: Stock market losses
Applicable law/agency: Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD)
Related topics: Securities, annuities, breach of fiduciary duty, churning, Edward Jones, failure to hedge, overconcentration/failure to diversify, failure to supervise, improper use of margin, theft, misrepresentation/omissions, retirement plans, securities unsuitability, selling away, unauthorized trading
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Stock Market Losses May Be Recovered

The Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) are two of the securities industry's regulatory bodies. The SEC is primarily responsible... read more

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FDA Information Related to Stock Market Losses

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MSN Newsfeeds Related to Stock Market Losses

Natalie Gulbis, you go, girl. Or not.

Countrywide posts loss

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News Articles Related to Stock Market Losses

Stocks End Choppy Session Higher - TheStreet.com

Bloomberg.com: Worldwide

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Useful Web Sites Related to Stock Market Losses

Anapol Schwartz, Securities Fraud Attorneys

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Wikipedia Entries Related to Stock Market Losses

Stock market

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Books Related to Stock Market Losses

The Successful Investor: What 80 Million People Need to Know to Invest Profitably and Avoid Big Losses

Stock Market Stratagem : Loss Control and Portfolio Management Enhancement

View the Stock Market Losses Books page here

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