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February 12, 2017

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February 12, 2017

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Brokers Beware: How to Protect yourself from Customer Claims

Each year investors who have lost money file thousands of complaints against their brokers. While many of these complaints go no further than an angry phone call, many of them turn into arbitrationas and regulatory actions. In just the past few years we have seen the technology sector crash, bogus corporate accounting schemes, corrupt analysts and their phony reports, Martha Stewart and her trading troubles, mutual fund class B share sales abuses and mutual fund after hour trading scandals. It is no wonder NASD arbitration filings against brokers continue to soar.

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