Menu

Misrepresentation

This type of misconduct means that the broker knowingly withheld information or gave false information about an investment.  If you had the correct information, you would not have made the investment.  Failing to reveal the facts about risk, or any other aspect of an investment, is a serious misconduct issue.

Another angle of misrepresentation is Omissions.  This just means that the broker has left out details.  These details would be critical to your decision making process before deciding to invest.