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D. Daxton White
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The White Law Group is a national securities fraud, securities arbitration, investor protection and securities regulatory/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. We pride ourselves on providing quality legal services to our clients and handle securities... More
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The White Law Group
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The White Law Group's Securities Fraud Blog
  • 10 Most Common Types Of Securities Fraud For 2013 0 comments
    Sep 23, 2013 4:15 PM

    According to FINRA, the securities industry watchdog and largest forum to resolve securities disputes, the most 10 common most common types of securities fraud for 2013 are listed in order.

    1. Breach of fiduciary duty-a financial advisor or brokerage firm putting their own interests before the clients
    2. Negligence-sometimes a financial professional simply makes a mistake
    3. Misrepresentation-for example, misrepresenting the risks of a particular investment
    4. Failure to supervise-brokerage firms sometimes fail to sufficiently monitor their employees
    5. Breach of contract-clients account is not managed in the manner agreed
    6. Unsuitability-recommending and investment that is not appropriate for the client
    7. Omission-fail to adequately disclose all the risks or other pertinent facts.
    8. Unauthorized trading-brokers are required to get your authorization before purchasing any investment
    9. Excessive trading/Churning-trading for the explicit purpose of generating commissions
    10. Margin Problems-margin substantially increases risk and can be unsuitable for some clients

    The foregoing information which is publicly available on FINRA's website has been provided by The White Law Group. The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. For more information on the firm, visit www.WhiteSecuritiesLaw.com.

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