Glossary

A broker or financial advisor is required to “know its customer” and to deal fairly with customers. A crucial element of this relationship is understanding the investor’s needs…

Structured products are securities derived from or based on a reference asset, such as a single security, a basket of securities, an index, a commodity, a debt issuance…

Selling away occurs when a broker or financial advisor sells a customer a product that is not held or offered by the broker’s own brokerage firm. Typically, these…

A securities fraud class action is a lawsuit filed by a group of investors who bought a particular product during a specific time period who suffered damages as…

Securities fraud is broad term that encompasses broker fraud and investment fraud. It occurs when a broker or financial advisor misrepresents or omits information that an investor needed…

A REIT, or real estate investment trust, is a company that invests in real estate ventures, such as shopping malls, apartment and office buildings, and hotels, and then…