New York City, NY asked in Stockbroker Fraud for New York

Q: What sorts of ethical guidelines must brokers follow? How do I know if mine is unethical?

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1 Lawyer Answer
Barry Eran Janay
Barry Eran Janay
Answered
  • Stockbroker & Investment Fraud Lawyer
  • New York, NY
  • Licensed in New York

A: The licensing body of the brokerage (SEC, FINRA for most securities) and the local realty association + state licensing division for real estate brokers have ethical codes that must be followed. Contact me directly (preferably via email) to go over the activity and I can give you an opinion.

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