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I lost 80% of my reitrement savings on 3x ETFs, can I sue my broker to get my money back?
So much of this answer depends, and it would be best to speak with an attorney. I am assuming that:1. you don't manage your own account, 2. you paid a broker or advisor (you paid a commission or fee)3. these ETF holdings constituted the core of your portfolio (not small positions, but large ones). 3x levered ETFs are almost never appropriate holdings for most retail investors. Even broker/dealers operate under a "suitability" rule. If you can prove that 3x levered ETFs were "unsuitable" for you, then you can very likely recover something from the B/D. RIAs operate under a fiduciary rule, and the burden of proof on you is much less in that environment. All that said, I have a hard time believing that the compliance group of the organization you purchased them from would allow the broker to sell a portfolio full of 3x levered ETFs as your core holdings. If they did, you probably signed something which acknowledged the risks involved. But, ultimately, you have a more than reasonable case. Under any standard I can think of, that was a ridiculous purchase, and you do have recourse. Speak with an attorney, they can advise you on how to proceed.
What is churning practice with respect to securities trading?
Churning Fraud is an illegal and unethical practice that takes place when a broker or financial advisor excessively buys and sells a client’s securities to increase their own commissions. For many Advisors the more he or she trades the more they get paid. In many cases this is enough incentive for unscrupulous brokers to over-trade in a client’s account.Often churning fraud occurs when a broker has discretionary authority (either actual or implied) of a client’s account - meaning they do not need the clients consent to trade on their behalf. Churning may result in significant losses and exposes the client to unnecessary tax liabilities.While there is no quantitative measure for churning fraud, brokers must follow FINRA rules intended to prevent such practices. According to FINRA Rule 2111, excessive trading may be evident if trading occurred that was not consistent with the client’s financial goals, risk tolerance, and knowledge of investment strategies.
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