Investment Broker Fraud

Worried about broker fraud. Here is a short list of red flags to warn you about potential broker fraud. The broker makes:

• Recommendations based on:
  • inside information
  • prospective mergers or acquisitions
  • dynamic new products
• Promises of spectacular profit like:
  • your money will double in six months
    
• Guarantees that you will not lose money in a particular transaction.
• Significant differences between the market price and the price you pay
• Excessive transactions- these increase the broker commissions but not necessarily your investments
• Suggestions of dramatic changes to your investment strategy
• Pressure to take risks you can't afford to take

Broker Fraud is a serious issue. If you feel you have been a victim of broker fraud read our information on broker misconduct.

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