How to Keep From Going Broke with a Broker

Have you placed, or are considering placing, your investment assets with a broker? If the answer is “yes,” then what do you really know about the broker and the duties and responsibilities associated with this relationship? If the answer is “not much,” or “nothing at all,” then you are looking at the right book. The author, with over twenty-five years experience inside the brokerage industry and as an attorney representing the rights of investors, takes you inside the broker/client relationship so that you can become an intelligent and informed consumer of brokerage products and services.

You will learn: • What to look for in choosing a broker • What to expect from a broker in terms of advice and recommendations • The types of, and importance of, documents associated with opening and maintaining a brokerage account • Cautions or “red flags” which could indicate that something is wrong in your account • What you can do if you believe you have been the victim of broker misconduct

Richard A. Lewins centers his law practice on representing individual investors in claims against brokers, brokerage firms, and investment advisors. He has represented hundreds of clients throughout the country in arbitrations before the NASD/FINRA, NYSE, and AAA, and has recovered substantial amounts through awards and settlement. He has been a featured speaker and author in the area of securities and securities litigation for the American Association for Justice (f/k/a/ ATLA), the Public Investors Arbitration Bar Association (PIABA), State Bar of Texas, Dallas Bar Association, and the American Institute of Certified Public Accountants (AICPA). His opinions on securities related topics are frequently sought by news organizations, and he has hosted a weekly radio show on investors’ rights.

Mr. Lewins has been named a Texas Super Lawyer™ and Best Lawyer in Dallas by D Magazine