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Does Your Broker Owe You Money?: If You've Lost Money in the Market and It's Your Broker's Fault--You Can Get it Back Paperback – Bargain Price, November 7, 2006

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About the Author

Daniel R. Solin is a leading securities arbitration lawyer and a principal in Academic Wealth Management, LLP, a Registered Investment Advisor ( Formerly the host of his own financial cable television show in Southwest Florida, he is a much sought after speaker.

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Product Details

  • Paperback: 304 pages
  • Publisher: Perigee Trade (November 7, 2006)
  • Language: English
  • ISBN-10: 1615515798
  • ISBN-13: 978-1615515790
  • ASIN: B001G8WMXI
  • Product Dimensions: 6 x 0.9 x 8.9 inches
  • Shipping Weight: 11.2 ounces
  • Average Customer Review: 4.0 out of 5 stars  See all reviews (16 customer reviews)
  • Amazon Best Sellers Rank: #5,215,983 in Books (See Top 100 in Books)

More About the Author

Dan Solin is the New York Times bestselling author of the Smartest series of books which include: The Smartest Investment Book You'll Ever Read, The Smartest 401(k) Book You'll Ever Read, The Smartest Retirement Book You'll Ever Read, The Smartest Portfolio You'll Ever Own and The Smartest Money Book You'll Ever Read. He is also the author of Does Your Broker Owe You Money?

He is the co-author of Mandatory Arbitration of Securities Disputes, A Statistical Analysis of How Claimants Fare, which examines the fairness of the mandatory arbitration system imposed on investors by the securities industry. He testified before a congressional subcommittee investigating the mandatory arbitration system.

He writes financial blogs for The Huffington Post and

He graduated from Johns Hopkins University and the University of Pennsylvania Law School. He is the director of investor advocacy for The BAM ALLIANCE and a wealth advisor with Buckingham Asset Management.

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10 of 10 people found the following review helpful By William Bernstein on October 13, 2002
Format: Paperback
The financial services industry, especially its retail brokerage arm, operates at a level of training, competency, and ethical imperative that would be unacceptable in any other profession. It is a sad fact that most retail brokers are completely ignorant of the basics of financial economics; it is as if the average doctor had never taken courses in basic anatomy, pathology, and pharmacology. At any one time, millions of clients are receiving advice that is profoundly misinformed, as well as a gross conflict of interest, and suffer accordingly.
Dan Solin has produced a valuable resource for anyone who have been damaged in this manner. It focuses largely on the arbitration process; it is the best description of its mechanics that I have seen. This book is a must for any retail brokerage customer.
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8 of 8 people found the following review helpful By Jeffrey S. Feinberg, Esq. on September 16, 2002
Format: Paperback
Mr. Solin's book is an indispensable guide to anyone with a brokerage account. For those who suspect wrongdoing on the part of their broker, this book is a roadmap to getting their money back. For investors looking to become better informed, Mr. Solin draws back the curtain on how Wall Street works revealing hidden costs and conflicts of interest that are rarely, if ever, disclosed by brokers.
As a twenty year veteran of Wall Street and as a secutities arbitration attorney, I can say without reservation that Mr.Solin's in depth analysis of broker behavior is right on target. This book is a must read for anyone with a brokerage account as well as any attorney who is new to the complex field of securities litigation/arbitration.
Congratulations to Mr. Solin for providing a much needed guide to uncovering and preventing broker fraud.
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10 of 11 people found the following review helpful By R. Shaff on July 13, 2003
Format: Paperback should read this book. If not, Dan Solin's book, DOES YOUR BROKER OWE YOU MONEY? is an excellent primer for those wanting to understand the 'inside skinny' of the brokerage business, responsibilities of brokers, alternatives to aggreived investors and possibilities for recovery if damaged.
I've been in the litigation consulting game (as a consulting and testifying expert) for close to a decade now, primarily in securities, and can say that Solin's book is the first book I've run across bringing all the pieces together in a cogent manner. While other books are out there and new ones arriving daily, Solin's book stands out as the cream of this crop. {Solin, a plaintiff's attorney, has been in the game for 30+ years. There will be and are many who will think this is his personal soapbox to drum up more business. I fervently disagree. Solin presents a solid, fact-based picture of many of the misdeeds inflicted by unscrupulous brokers. There is very little fluff here.}
Solin walks the reader through most aspects of a relationship with a broker as well as identifying the "warning signs" within the relationship for any investor to observe. In the first chapter, "Your Broker Just Might Owe You Money," Solin describes the 'chatter' many brokers use to market themselves and pick off unsuspecting investors. He then goes on to describe areas of broker fraud and NYSE/NASD/SEC violations, which he details in later chapters.
If there is one chapter I would strongly suggest most retail investors read and reread, it is Chapter 4, "Unsuitability: What's a Good Investment Strategy for You?" By and large, most lawsuits I've consulted/testified in have allegations of unsuitable investments.
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5 of 5 people found the following review helpful By A. Daniel Woska on October 14, 2002
Format: Paperback
Dan Solin has provided a very nice primer with detail to the person who is wondering if they lost money due to the market or due to their broker.When the market meltdown began in March 2000, the bad habits and unrestrained greed of unprofessional brokers became as transparent as handi-wrap. The customers who were lured into unsuitable investments due to the way in which commissions were paid is exposed for what it is in this book.
Whether trying to recover losses for mutual funds or simple stock transactions, Dan Solin hits the mark and provides plenty of illumination on an otherwise private and hard to understand business. This is a must read for anyone who is beginning to invest or trying to determine how to recover monies lost in the meltdown.
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6 of 7 people found the following review helpful By A Customer on September 13, 2002
Format: Paperback
Several years ago, as a summer intern in a large financial services company, I was given the opportunity to attend an Investment Advisor (Broker) training seminar. The experience was an eye-opener. The entire class was devoted to lead generation, not sound investing techniques. Those with some prior sales experience shared with others their methods of obtaining the names of wealthy (potential) clients. Among the methods included was slipping the receptionist at the local country club a twenty dollar bill for the club registry. On and on this went, with no discussion of investing fundamentals.
For many years in the 1990's, the knowledge that many brokers were, at best, modestly informed salesmen was confined to industry insiders and experienced investors. Dan Solin aims to bring this understanding to a wider audience, having worked with those who have either been swindled, misled, or simply given very poor investing advice. From reading this book, my impression of Mr. Solin is that he has simply had enough.
The book combines three main components - 1.) An overview into the conflicts inherent in the broker-client relationship and how these conflicts often hurt the retail investor 2.) A summary of Modern Portfolio Theory and its implications for the average investor and 3.) A discussion of avenues available to investors who believe they have a claim against their broker and/or brokerage firm. The writing is very accessible and conversational, and Mr. Solin writes as if he is very eager for the reader to grasp this information.
For many, parts of this book will be a review.
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