Episode 16: Prof Tom Hazen on Stock Brokers and the Law -...

What this episode covers

Prof Tom Hazen is an experienced Professor of Law at UNC Chapel Hill. His work has been cited by the U.S. Supreme Court and he has been an expert witness on boiler room prosecutions. We discuss the legal obligations that a broker owes a trader and what traders can do if they feel their broker has broken the law. Mentioned: *Boiler Room movie *Dark Pools book FINRA - Investor Information FINRA - Broker Check SEC - Investor Information *Commissions received

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Frequently Asked Questions

How long is this episode of Trading For Keeps?

This episode is 1 hour and 2 minutes long.

When was this Trading For Keeps episode published?

This episode was published on November 3, 2020.

What is this episode about?

Prof Tom Hazen is an experienced Professor of Law at UNC Chapel Hill. His work has been cited by the U.S. Supreme Court and he has been an expert witness on boiler room prosecutions. We discuss the legal obligations that a broker owes a trader and...

Can I download this Trading For Keeps episode?

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