The fact is in recent years, illegal activities by big organizations and even individuals, has seen an increase in stock and securities fraud.The trust we have put into either, our stock broker, investment advisor or financial planners is mistreated and our investment lost so carrying out a regulatory audit is essential.Several of the most common investor claims include misleading or withholding information, unauthorized investments, improper investment recommendations or excessive trading (churning).It is a broker’s obligation to divulge all appropriate info concerning any dealings and investments, failing to do so can result in your investment being used to your brokers advantage, lining their wallets instead of your own.
