Illinois | Securities Law
3/02/09, 2:27 pm
Legal Question
Broker ''selling away''
A series 6 broker sold me a bond it turns out to be worth less, not legitimate. The principle was never returned by the person he was representing at the time. The FBI is on the case. I was told by the IL Securities Department that even though he was not ''representing'' the company he is registered with when he sold me the bond, the company he is registered with is on the hook for my loss of principle.
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Read More Answered By: Adam Tracy |
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