In many cases, we see improper conduct whereby the broker or his employer firm fails to inform a client of material facts concerning risks of an investment, conflicts of interest, or risks of an advised strategy. Investors are entitled to know material facts of their investments before making a trade, and the broker is obligated to so advise their clients. The principal of “informed consent” is applicable here. Often a failure to disclose claim surfaces as part of a fraud or a negligence claim.

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