Negligence is the failure to exercise the degree of care expected of a prudent person in like circumstances in protecting others from a foreseeable and unreasonable risk of harm.  There are many types of claims of negligence with each having different standards based on the jurisdiction.  The securities industry has numerous rules and regulations that seek to protect investors from broker negligence.  An investor may have a claim against a broker if the investor’s losses were the result of the broker’s negligence during the course of dealing with the investor.

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