July2017

what the broker represented the fees would be. Investors should not hesitate to request clarification of any charges or fees that may seem inaccurate, unfair or unreasonable. Investors should also understand that many small firms utilize the ser- vices of a clearing or custodial firm to hold clients’ funds and securities and to issue the account statements as most clearing firms are larger and have greater financial resources than small brokerage firms. In cases where a smaller brokerage firm utilizes a clearing firm, the account statements will disclose the names of both firms, i.e. the introducing brokerage and the clearing firm. If an investor receives a statement from a firm whose name is BROKERAGE ACCOUNT... from page 32.

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