Trading For Keeps

Episode 16: Prof Tom Hazen on Stock Brokers and the Law

November 03, 2020
Trading For Keeps
Episode 16: Prof Tom Hazen on Stock Brokers and the Law
Chapters
Trading For Keeps
Episode 16: Prof Tom Hazen on Stock Brokers and the Law
Nov 03, 2020

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

Show Notes

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