Put it in writing, keep notes and act promptly. Often the tendency is to avoid conflict. Unfortunately dealing with stockbrokers is largely done via the telephone not in a written format.

However keeping contemporaneous notes not only helps you keep track of the honesty of your broker (and for that matter your memory) but it can provide a valuable tool in securing recovery for misconduct by your broker.

Likewise, writing your concerns to the brokerage firm makes it impossible for them to ignore or misrepresent.

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