Articles Tagged with Overconcentration Lawyers

Can You Hold Your Broker-Dealer Liable for Your Portfolio Losses?

UBS Ordered To Pay Senior Investor More Than $532K For Alleged Overconcentration 

Broker-dealers have a duty to make sure they properly diversify clients’ accounts, including making sure that their financial advisors don’t concentrate too much of any investor’s money on one particular investment or asset class. Unfortunately, overconcentration by a broker is one of the reasons that investors lose money.