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The Complete Idiot's Guide to Stock Investing Fast-Track by Ken Little

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What You Do When Things Go Badly

As an investor, you have certain rights that your broker must acknowledge. As previously noted, brokers have a legal and ethical responsibility to deal with you fairly and appropriately. Unfortunately, like any business, stock brokers sometimes bend or break the rules. It is somewhat disconcerting to read about the actions of some financial firms during the financial collapse of 2008 and stories of misdeed on a much smaller scale abound.

Despite the unfortunate headlines, the securities industry is one of the most highly regulated businesses in the United States. The U.S. Congress is at the top of the heap. It created most of the structure and it passes major laws that affect how the industry operates. It also ...

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