Common Forms of Stockbroker & Financial Advisor Misconduct
Stockbrokers, commodities brokers and other financial advisors have been known to engage in many types of fraud and other practices in violation of United States Securities and Exchange Commission (SEC), United States Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), formerly known as the National Association of Securities Dealers Regulation, Inc. (NASD) rules, regulations, practices and procedures. The more common types of misconduct have been described in other sections of the Investor Practice Area on this website. Here are some more types of broker and advisor misconduct to look out for as investors.
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