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Investor Rights

"90% of the people in the stock market, professionals and amateurs alike, simply haven't done enough homework." - William J. O'Neil, founder of "Investor's Business Daily"

Before investing, it is important to do your homework. Knowing your rights as an investor is an important part of that homework. According to the North American Securities Administrators Association ( these rights include:

  • Information about the firm and who is handling the account.
  • Details about the risk, obligations, and costs before investing.
  • Copies of all completed account forms and agreements.
  • Restrictions or limitations on accessing your funds.
  • Prompt consideration and response to any concerns.

The Ohio Department of Commerce recommends that you "call the appropriate agency to confirm that the person/company holds a valid license before you invest."