Legal Question in Securities Law in Florida

commisions earned by a non- existant broker

my broker was relocated by her company ,a large well known bank She had said she would remain my broker atleast 20 times during the year prior to her relocation i never heard from her again nor was i given a way to contact her She had a partner with whom i never did nor would deal with proffessioinaly I was after all ''waiting for her to settle in'' Though neither her nor her partner contacted me I was was essentially deterred from finding another broker Her admin. assist. finally told me that they split over $5,100 in commissions during a period of 14 months During these months I was ill with pneumonia My energy for such matters was near non existant Is this not illegal? Might I be owed damages?

Asked on 11/12/03, 7:15 am

1 Answer from Attorneys

Mark Tepper Mark A. Tepper P.A.

Re: commisions earned by a non- existant broker

How many purchases and sales were made in your account during the 14 month period? Did you authorize each one with a broker? If you lost money, how much did you lose?

After you answer these questions, I will be in a better position to respond to your inquiry.

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Answered on 11/12/03, 9:47 am

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