Legal Question in Securities Law in Florida

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


Asked on 12/31/09, 7:00 am

2 Answers from Attorneys

Alan Wagner Wagner, McLaughlin & Whittemore P.A.

There are exceptions, but -- generally speaking -- the answer is almost always "no."

Read more
Answered on 1/05/10, 7:08 am
Daniel Bakondi The Law Office of Daniel Bakondi

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

www.danielbakondi.com

Daniel Bakondi, Esq. [email protected] 415-450-0424

IMPORTANT NOTICE: This communication may contain confidential information, privileged information, or attorney work product. If you are not the intended recipient or received this message in error, any use or distribution of this message is strictly prohibited and unlawful. Please notify the sender immediately, and delete this message. No attorney-client nor confidential relationship is created through this communication. Nothing communicated or provided constitutes legal advice nor a legal opinion unless it so specifies and written agreement for attorney services has been entered into. Your issue may be time sensitive and may result in loss of rights if you do not act in time. Thank you.

Read more
Answered on 5/18/10, 3:49 pm


Related Questions & Answers

More Securities Law questions and answers in Florida