in a civil suit against a stock broker can you bring up the brokers past record even if the incident was handled internally and not put on the broker's U4
2 Answers from Attorneys
There are exceptions, but -- generally speaking -- the answer is almost always "no."
Generally not, but there are other things you can use his past record for. If you are interested in pursuing a matter, please send me an email I litigate against brokers and securities dealers.
Regards, Attorney Daniel Bakondi
The Law Office of Daniel Bakondi, APLC
870 Market Street, Suite 1161
San Francisco CA 94102
Daniel Bakondi, Esq. [email protected] 415-450-0424
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