|
|
|
CLAIMS AGAINST SECURITIES BROKERS AND INVESTMENT ADVISERS  |
|
Telling a customer that the customer will receive a specific rate of return violates Section 10 of the Securities Exchange Act of 1934, SEC Rule 10b5 thereunder, and Section 12 of the Illinois Securities Act. The same can be said of any other promise or prediction made by a brokerage firm or salesperson without adequate disclosures as to how the promise or prediction may not come true or made without a reasonable basis.
|| See My Business Law Web Site || || See My Probate Web Site || See My Wills, Trusts, and Estate Planning Web Site ||
|
|
Donald M.
Thompson * 55 W. Monroe #3950; Chicago, IL 60603 |
