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  • Can the branch manager be liable?
    • A branch manager has a duty to supervise his brokers. The branch manager must have safeguards instituted to protect customers from rogue brokers. If the branch manager does not properly supervise his brokers he may be liable to the customer under the "failure to supervise" doctrine.
    Important: These Frequently Asked Questions (FAQs) were prepared by David Harrison, Esq. David Harrison is a founding partner in the law firm of Spivak & Harrison. Mr. Harrison served as in-house counsel to the brokerage firm Morgan Stanley Dean Witter where he resolved allegations regarding stockbroker wrongdoing. Mr. Harrison was formerly series seven licensed when he worked as a broker at Shearson Lehman Brothers. Mr. Harrison concentrates in the areas of stockbroker fraud and securities litigation. Mr. Harrison can be reached at (310) 772-2274, dharrison@shlawyers.com or http://www.shlawyers.com.

    These Frequently Asked Questions are based on Federal and California Law.
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