The Complete Guide to Preventing and Resolving Brokerage Disputes
Published on 1. January 1989
Book
Hardback
318 pages
978-0-471-85712-9 (ISBN)
Description
Broker-client conflicts and the procedures for resolving them can be complicated and costly. This American guide presents investors, stockbrokers and lawyers with the technical, financial, legal, and ethical considerations that govern the broker-client relationship. It explains the rights and responsibilities of all parties, and outlines procedures for resolving disputes fairly. The book addresses proper and improper methods of solicitation, determination of suitability of investments, account management, buying on margin, security industry rules and regulations, and legal remedies and procedures. The text will be of benefit to stockbrokers, investment advisors, lawyers, investors and students.
More details
Language
English
Place of publication
New York
United States
Publishing group
John Wiley and Sons Ltd
Target group
College/higher education
Professional and scholarly
Illustrations
Ill.
Dimensions
Height: 60 mm
Width: 36 mm
Weight
595 gr
ISBN-13
978-0-471-85712-9 (9780471857129)
Copyright in bibliographic data is held by Nielsen Book Services Limited or its licensors: all rights reserved.
Schweitzer Classification
Content
Part 1 Breach of trust and its causes: solicitation of accounts; opening accounts; suitability; handling accounts; margins; supervision; churning - real and imagined. Part 2 Compliance: documentation - a detailed look; the customer's responsibilities; general rules and their sources; when disputes arise; documents - an attorney's viewpoint; frequent allegations, defences and remedies - a case study; the lawyer's bookshelf; keeping the peace.