Margin Account Violations

What it sounds like

“My broker did not explain that I could lose so much money so quickly by trading on margin.”  “My brokerage firm liquidated my account without my knowledge or consent due to something called a margin call.”  “My brokerage firm sold all of my securities and now says I owe them money!”

Trading on the margin is a complicated procedure that carries additional risks for the investor. The rules surrounding margin calls, pattern day trading, and liquidation violations are equally complex. Often a broker or brokerage firm will encourage you to trade on margin for reasons that may not be in your best interest.  For example, the more money you have available to trade, the more commissions and/or fees the firm can earn by trading your account.  Also, the firm will charge you interest on your margin loan, which may impair the rate of return on your investments.  Brokerage firms must follow complex margin lending rules, and although in most cases the firm has a right to liquidate your portfolio in the event of a margin call, it must do so in a commercially reasonable manner.  If you believe a margin violation occurred in your account, or if you have concerns about the manner in which your account was liquidated, contact us today for a free consultation.

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