Donald M. Thompson - Securities Arbitration - Claims Against Securities Brokers and Investment Advisers
SECURITIES ARBITRATION -
CLAIMS AGAINST SECURITIES BROKERS
AND INVESTMENT ADVISERS
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Failure to Keep Adequate Records

Brokerage firms are required by law to keep a variety of records. Among the rules are the following:

  • SEC Rule 10b-10 provides for a record of extensive disclosures in connection with confirmations of transactions.
  • SEC Rule 17a-3 provides extensive rules for recordkeeping by brokers.

 

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Donald M. Thompson * 55 W. Monroe #3950; Chicago, IL 60603
Ph: 312-782-0844 * Fax: 312-201-1436 * Email: donthompsonlaw@sbcglobal.net