Private Securities

Brokerage Firms Must Continually Strive To Protect The Interests Of Their Customers By Exercising Diligence In Connection With The Supervision And Oversight Of Outside Business Activities And Private Securities Transactions.

Securities brokerage firms have an obligation to safeguard the interests of their customers.  To accomplish that objective, those firms must diligently discharge their ongoing responsibility to closely supervise the activities of the stock brokers they employ.  Along those lines, brokerage firms must, among other things, carefully inspect and analyze the incoming and outgoing letters, e-mails, […]

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