4/10/2008· Finance
Investment Malfeasance And Breach Of Fiduciary Duty
By: Errold F. Moody, Jr (BSCE, LLB, MBA, MSFP, PhD)
Arbitration cases submitted to the NASD generally cover the issues of negligence, breach of contract, breach of fiduciary duty, unsuitability, failure to supervise and misrepresentation. For most purposes, they all tend to say the same thing- a failure to gauge risk
