May, 2015 | Kaufmann Gildin & Robbins LLP

Does My Broker Owe Me a Fiduciary Duty?

On behalf of Kaufmann Gildin & Robbins LLP | May 8, 2015 | Fiduciary Duty, FINRA Arbitration

A fiduciary duty means that when a broker makes a recommendation to the customer, the broker’s motivation must be in the customer’s “best interest”. For most brokers, that is their motivation. Where it is not, trouble can ensue. The extent to...

Does My Broker Owe Me a Fiduciary Duty?

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