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Do I have a claim against my stockbroker or other investment advisor?
Frequently Asked Questions (FAQ)
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I understand that a tragic accident or
unexpected event can be devastating, causing tremendous damage and loss.
The lawyers and case managers of our firm are dedicated to helping you
during this difficult and trying time. Through aggressive, prompt, and
professional legal representation, we will help protect your rights and
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A Bales Professional Association
Investor
Bill of Rights
securities.johnbales.com
The "Investor Bill of Rights” was prepared by the North American Securities Administrators Association, Inc. in 1997 in an effort to inform investors as to what they should know before investing and whom to contact for information and/or assistance should a problem arise.
Investor
Bill of Rights
When You Invest, You Have the Right to:
-
Ask for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.
-
Receive complete information about the risks, obligations and costs of any investment before investing.
-
Receive recommendations consistent with your financial needs and investment objectives.
-
Receive a copy of all completed account forms and agreements.
-
Receive account statements that are accurate and understandable.
-
Understand the terms and conditions of transactions you undertake.
-
Access your funds in a timely manner and receive information about any restrictions or limitations on access.
-
Discuss account problems with the branch manager or compliance department of the firm and receive prompt attention to and fair consideration of your concerns.
-
Receive complete information about commissions, sales charges, maintenance or service charges, transaction or redemption fees, and penalties.
- Contact the Securities
Division in order to verify the employment and disciplinary history
of a securities salesperson and the salesperson's firm; find out if
the investment is permitted to be sold; or file a complaint.
Copyright © 1997 by the North American Securities Administrators Association
You should make sure
that your rights were protected.
Contact a John Bales Florida Securities Lawyer today! Complete a FREE Online Consultation Form or Call us toll free 1-800-CALL JOHN (1-800-225-5564) 24 hours, 7 days a week!
Merrill Lynch | Do I Have a Claim | Common Types of Claims | Bill of Rights | FAQ | Resources | Free Case Evaluation
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Abuse and neglect have become serious concerns for those with loved ones in nursing homes. A nursing home lawyer can help...
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Through a nationwide network of attorneys, we are able to handle
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