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Overconcentration/Failure to Diversify

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.

Fast Facts

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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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. In order to protect a client's assets, the broker should vary the types of stock purchased. Stock fraud through over... read more

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Government Articles Related to Overconcentration/Failure to Diversify

Beginners' Guide to Asset Allocation, Diversification, and Rebalancing

Beginners' Guide to Asset Allocation, Diversification, and Rebalancing

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Useful Web Sites Related to Overconcentration/Failure to Diversify

Burg Simpson, Securities Attorneys

Anapol Schwartz, Securities Fraud Attorneys

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Wikipedia Entries Related to Overconcentration/Failure to Diversify

Diversification (finance)

Portfolio (finance)

View the Overconcentration/Failure to Diversify Wikipedia Entries page here

Books Related to Overconcentration/Failure to Diversify

HONDURAS: CIVIL SOCIETY CHARACTERIZED BY OVERCONCENTRATION ON SELECT GEOGRAPHIC AREAS & ISSUES. : An article from: NotiCen: Central American & Caribbean Affairs

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