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, P.A.

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

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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

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


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