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Misrepresentation/Omissions

Issue name: Misrepresentation/Omissions
Applicable law/agency: Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD)

Related topics: Securities, Stock Market Losses, Breach of Fiduciary Duty, Edward Jones, Securities Unsuitability, Selling away, Theft, Unauthorized Trading
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Misrepresntation/Omissions

The Securities Act of 1933 requires publicly traded companies to disclose financial and other important information to investors and potential investors and prohibits misrepresentation or fraud in the sales of securities. Brokers must disclose the risks associated with investments to their clients. The National Association of Securities Dealers (NASD) dictates that all members send account statements to clients at least once every financial quarter. Statements should include purchases, sales, interest credits or debits, charges or credits, dividend payments, transfer activity, securities receipts or deliveries, and journal entries detailing funds or securities controlled by the broker. All information provided should be true and free of deception.

Full Disclosure is a Cornerstone of Investing

Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: Require that investors receive financial and other significant information concerning securities offered for public sale. Prohibit deceit, misrepresentations, and other fraud in the sale of securities. A broker has a duty to accurately represent investments. read more

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