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Improper Use of Margin

Margin trading allows investors to buy stock without fully paying for it. It entails using already-owned stocks as collateral in order to borrow money from a broker to buy additional stocks. Using margin entails some risk and is not suitable for all investors. Margin trading may not be suitable for investors who do not understand the risk involved or cannot cover potential financial losses. Unsuitable uses of margin may be marked by a margin account being used to buy particularly volatile stocks, margin being used as a line of credit, a margin account being opened in a retirement account or a margin loan balance unexpectedly appearing on statements. When a client has a margin account, the broker may sell the client's securities without notice if the balance falls below the firm's requirements.

Fast Facts

Issue name: Improper use of margin
Applicable law/agency: Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD)
Related topics: Securities, theft, stock market losses, breach of fiduciary duty, misrepresentation/omissions, unauthorized trading
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Has The Use of Margin Caused Unexpected Losses?

Margin is borrowing money from a broker to buy a stock and using the original investment as collateral. Investors generally use margin to increase their purchasing power so that they can own... read more

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