answersLogoWhite

0


Best Answer

No. He would have to be found 'guilty,' 'liable,' or 'At Fault' before action could be taken against his license. Before that happens it is just an un-substantiated allegation.

User Avatar

Wiki User

14y ago
This answer is:
User Avatar

Add your answer:

Earn +20 pts
Q: If a stockbroker is sued for malpractice does he automatically lose his broker's license?
Write your answer...
Submit
Still have questions?
magnify glass
imp
Related questions

Why would the state suspend a medical license?

The most common reason is malpractice or misconduct by the license holder. Some states automatically suspend or revoke licenses for certain crimes such as DUI or any felonies as well.


Do you need a brokers license to get truck driver routes?

no


Makati university Philippines license exam borad result 2008?

brokers exam license


How do I find out about a pawn brokers license in California?

www2.dca.ca.gov/


How long does it take to become a stockbroker?

Depends on what you mean by stockbroker. Technically speaking, anyone with a Series 7 license is considered a stockbroker. So, if you can find a job who will pay for training and licensing, you can become a stock broker. Usually firms give 120 days to take (and pass) the exam.


Why would one need a freight broker license?

A freight brokers license is required for brokers who manage shipments of freight in places that require the broker to be certified. Some places the provinces of Alberta and Saskatchewan do not regulate brokerage so a license is not needed in those provinces.


Can a person keep their mortgage brokers license if they file for bankruptcy in fl?

yes


How do you verify a series 7 license in NY?

A stockbroker's Series 7 license can be verified in New York by checking with FINRA. FINRA is the Financial Industry Regulatory Authority.Ê


A person's driver license will automatically be suspended if convicted of?

A person 's driver license will automatically be suspended if convicted of?


When you get arrested fir drink driving do you lose your license automatically?

When you get arrested for drink driving do u loose your licence automatically


Is it automatically your fault in an accident if you drive with a suspended license?

Yes, because you


What qualifications are neeeded for a lawyer to practice medical malpractice litigation in Florida?

In order for a lawyer to practice medical malpractice litigation in Florida, one must first pass the bar exam. Another qualification is to have a Florida law practicing license.