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Home >> Suitability

Suitability

According to the NASD, a broker can only recommend "a purchase or sale of a security after determining that a recommendation is suitable for that customer".

In making an investment recommendation to a client, a broker must make a recommendation that is consistent with the customer's risk tolerance, needs and investment objectives. A broker has a duty to 'know his client' and only recommend investments or strategies that are suitable for that client.

The broker must also have a reasonable basis for making his recommendation.

An investor's amount of market experience, as well as his present financial condition, are important facts to be assessed prior to pursuing a claim.

To help us evaluate whether you have a claim regarding "Suitability", call The Bernstein Law Firm, at (305) 670-8877, or contact us for a free initial consultation with a Miami lawyer.

• Auction Rate Securities
• Variable Annuities
• Misrepresentation & Omissions
• Overconcentration
• Negligence
• Breach of Fiduciary Duty
• Failure to Supervise
• Churning
• Suitability
• Unauthorized Trading
• Failure To Execute
• Derivatives
• Securities Arbitration
• Securities Fraud

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