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Failure to Hedge
Hedging an investment portfolio reduces an investor's exposure to some risks, while still allowing the investment portfolio to remain profitable. There are many common hedging strategies. Financial advisors and brokers must offer clients prudent advice that is in keeping with the client's financial goals and takes into account their tolerance for risk. Brokers should offer clients appropriate advice about hedging portfolios. If such advice is not offered, the broker or advisor may incur some liabilities. While hedging can benefit investors, some brokers are hesitant to recommend common hedging strategies. Some brokers believe the complexity of hedging will do nothing more than confuse clients.
Fast Facts
| Issue name: | Failure to hedge |
| Applicable law/agency: | Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD) |
| Related topics: | Securities, breach of fiduciary duty, stock market losses |
Hedging Strategies Can Reduce Investment Losses
Financial losses suffered by investors because their broker failed to recommend an appropriate hedging strategy can be recovered. There are literally thousands of “typical” or... read more
Hedging Techniques Reduce Customers Financial Exposure
In certain situations, a financial advisor/broker may be liable to a customer for failing to recommend that the customer hedge their portfolio. Liability in this context usually arises when a... read more
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Useful Web Sites Related to Failure to Hedge
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