A broker turned attorney offers indispensable advice on how to protect your investments from stockbroker fraud. Discover what really goes on in a brokerage firm and what actually happens to your money there, the telltale warning signs that indicate trouble with your stockbroker, what products to avoid and what you should do immediately if you own any dangerous investments, what the options are for recovering money lost through bad advice and much more.
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Book Description
Editorial Reviews
From Publishers Weekly
"Call them what they are--tricks, sleight-of-hand, devices to maneuver and defraud," writes stockbroker-turned-lawyer Allen in this detailed and chilling analysis of deceptive dealings in stocks, bonds, mutual funds, limited partnerships, etc., whereby brokers "churn" customers' accounts for maximum commissions. Case histories here chronicle the near-total loss of retirement funds, inheritances or life savings through an investor's failure to hold a broker accountable for such practices as breaking up a 1000-share transaction into 100-share lots with a commission collected on each. Allen warns of early signs of trouble, outlines a do-it-yourself trading program for individuals and describes a regulatory arbitration program--complex and difficult--and other avenues of recovery for clients victimized by crooked brokers. Fortune Book Club alternate; author tour.
Copyright 1993 Reed Business Information, Inc.
Copyright 1993 Reed Business Information, Inc.
From the Publisher
A broker turned attorney offers indispensable advice on how to protect your investments from stockbroker fraud. Discover what really goes on in a brokerage firm and what actually happens to your money there, the telltale warning signs that indicate trouble with your stockbroker, what products to avoid and what you should do immediately if you own any dangerous investments, what the options are for recovering money lost through bad advice and much more.
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