The Role of Disclaimers in Brokerage Fraud

The purpose of this blog is to expose, one by one, the common methods brokers use to manipulate and deceive their clients. Today I want to discuss the role of disclaimers. Table Of Contents Boilerplate Risk Disclosure Is Insufficient What If The Disclaimer Is...

Why Do Stock Brokers Hate Compliance?

Each year a voluminous number of disciplinary actions are instituted against major broker-dealers for failure to supervise their own brokers and financial advisers. Why do stock brokers hate compliance? Let’s discuss this. The number of fines levied against...