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Sales Practice Abuses

Sales Practice Abuses

Investors sometimes contact us with complaints about their brokers. The most common sales practice abuses we hear about involve:

For further information, please read our brochures on other abusive sales practices - Cold Calling and failure to disclose Mutual Fund Breakpoints. If you believe your broker has engaged in these or another sales practice abuse, please send us your complaint using our online complaint form.

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.