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Overconcentration / Failure to Diversify

Issue name: Overconcentration / Failure to Diversify
Applicable law/agency: Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD)

Related topics: Securities, Stock Market Losses, Breach of Fiduciary Duty, Securities Unsuitability
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Lack of Investment Diversification

To protect investors, brokers should diversify their clients' stock portfolios. Diversification limits risk because it spreads stocks over a variety of sectors. This cushions the loss for investors in case of a major downturn in a particular industry. Brokers should tell their clients about the benefits of diversifying portfolios. If a broker puts a large majority of a client's portfolio in one sector and the sector experiences a significant decline, the broker may be responsible. Failure to diversify may cause a broker to face negligence and malpractice liability.

Failure to Diversify or Over Concentrate a Portfolio Could Be Fraud

Failure to diversify a client's portfolio can be a form of stock fraud. Stock fraud through over concentration strips the client of the protection diversification affords. Diversification of investment holdings is the most important shield against risk. read more

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Overconcentration/Failure to Diversify Videos

Overconcentration and Failure to Diversify

Failure to Diversify Litigation

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Overconcentration/Failure to Diversify Government Articles

Beginners' Guide to Asset Allocation, Diversification, and Rebalancing

Beginners' Guide to Asset Allocation, Diversification, and Rebalancing

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Overconcentration/Failure to Diversify Useful Web Sites

Anapol Schwartz, Securities Fraud Attorneys

Cohen Placitella and Roth, Overconcentration/Failure to Diversify Attorneys

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Overconcentration/Failure to Diversify Wikipedia

Diversification (finance)

Portfolio (finance)

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