Topic: Stockbrokers

Hemi purchased shares in a small business. Four years later, he asked the crowdfunding provider he used to buy the shares to help him sell them. Did the crowdfunding provider have to help Hemi?

Mia participated in a rights offer. She thought she had applied to exercise all of the rights she purchased but only some of her rights were exercised. Mia wanted a third party to review the transactions.

Poor advice from a share broker results in delayed share sale causing loss.

George owned some shares which were managed on his behalf by an investment adviser. The adviser sold George’s shares in two companies at what George considered was an inopportune time. Did the adviser act outside his authority?

You signed up with a broker and they are offering a range of sharebroking services. You chose a mid-range option providing an execution service and some general advice. What duty does your broker have to ensure the advice is right for your particular circumstances?

Serena wanted to sell her shares in Capital Capital. She instructed her broker, John, to sell the shares, unaware that Capital Capital was scheduled to declare a dividend payment in the next few weeks.