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Miami Selling Away Investments Attorney

Selling away occurs when a financial adviser or broker sells an investment to a customer that was not approved by the adviser’s firm. Often times these investments have not gone through proper vetting or due diligence and result in large losses to the customer. These investments also often times pay a large commission to the broker and are highly risky.

Selling away is a violation of FINRA Rule 3040 and in certain circumstances, the broker’s firm can be held liable, especially if the firm knew or should have known about the selling away.

Carlson & Associates, P.A. has experience in handling cases involving selling away. Contact our Miami investment fraud attorneys.

Contact our Miami Investment Fraud Attorneys

Carlson & Associates, P.A. has years of experience helping Miami clients with investment fraud, corporate & partnership disputes, officer liability and coverage & legal and accounting malpractice. Contact us online or call 305-372-9700 for more information or assistance.

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