Trading For Keeps
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Trading For Keeps
Episode 16: Prof Tom Hazen on Stock Brokers and the Law
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Prof Tom Hazen is an experienced Professor of Law at UNC Chapel Hill. His work has been cited by the U.S. Supreme Court and he has been an expert witness on boiler room prosecutions.
We discuss the legal obligations that a broker owes a trader and what traders can do if they feel their broker has broken the law.
Mentioned:
*Boiler Room movie
*Dark Pools book
FINRA - Investor Information
FINRA - Broker Check
SEC - Investor Information
*Commissions received