What should a client do if he/she thinks that his/her broker has not been completely honest?
Anytime a customer feels uncomfortable about the veracity of statements made by his/her broker, he/she should not ignore the situation. Options include questioning the broker about the statements or verifying them with the broker’s supervisor or a third party not associated with the brokerage house (a knowledgeable attorney, financial advisor or accountant). Delaying taking action against a broker who commits wrongful acts could cause a customer to waive valuable legal rights against the broker and the brokerage house.
