Liability for Defective Securities - Transcript
Yes um both the individual and the company can be held liable and I think the company has the highest degree of liability because they should have done due diligence as the broker should have done on this product to ensure that it was suitable to be sold to anyone that it was in the best interest of any customer so a defective Security Finance definition was not appropriate to be sold to anyone and so when we’re talking about who’s liable the primary liability is on the firm and secondarily on the broker if the broker could have known of the defect.
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