Washington State Department of Financial Institutions

Rules Your Broker Must Follow

While the vast majority of investment professionals are never accused of fraud or abuse, there are investment professionals who engage in misconduct.  Here are some major considerations to be aware of when reviewing the transactions you have with your investment professional. If you feel uncomfortable with your brokerage house or investment professional, or have reason to feel that you're being pressured in any way, don’t feel guilty about switching your account to another representative or firm.  Remember, it is your financial future that's at stake – not theirs.

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