Brokerage Regulations Compliance


                  Carlson Law Firm, APC 
                  600 West Broadway, Suite 1550
                  San Diego, CA 92101
                  Phone: (619) 544-9300
                  Fax: (619) 234-0043
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San Diego Brokerage Regulation Compliance Lawyer

California SEC Compliance Attorney

To protect investors, numerous laws and regulations have been established governing the practices of brokerage firms, brokers and
financial advisors. At the Carlson Law Firm, APC, we are committed to protecting individual investors and entities that have suffered
financial harm due to improper practices by their brokers and brokerage firms. From our offices in San Diego, brokerage regulation
compliance attorney Daniel Carlson has helped clients in securities disputes all over California and in other States.

Stockbroker Regulations

The conduct of brokers and brokerage firms is regulated by state and federal law. Brokerage firms also use internal regulations to govern
the conduct of their employees. Whether a violation involves Securities and Exchange Commission (SEC) regulations, state Blue Sky Laws,
Federal Laws, Financial Industry Regulatory Authority (FINRA) regulations or deviation from internal guidelines, the consequences to an
investor can be devastating.

Failure to Supervise the Activity of Customer Accounts

Brokerage firms have a duty to monitor their customers’ accounts for improper activity. They are required to take proactive steps to
safeguard investors. These steps include the implementation of suitable methods of monitoring client accounts. They must maintain,
review and evaluate their procedures so they can identify inappropriate activity in your account in a timely manner. If your brokerage firm
failed in its supervisory capacity, you may be entitled to recover your financial losses.

Failure to Supervise Brokers

Brokerage firms also have a duty to supervise the brokers in their employment. They must implement systems allowing them to monitor
their brokers’ overall trading patterns, generally on a day-to-day basis. If the brokerage firm is negligent or willfully fails to supervise its
brokers, the brokerage firm may again be found liable for your losses.

We are deeply familiar with state, federal and industry regulations. Our firm can help you determine if your broker or brokerage firm acted appropriately. To discuss your specific situation with an experienced securities lawyer, call (619) 544-9300 or contact us online. We offer a
free telephone or in-office consultation.