Originally Posted by Dollarmansteve

I used to be a stockbroker and worked at one of the large canadian firms - and stockbrokers do get sued left right and centre.

There is more continuing education requirements related to legal issues / ethics than any other component in being a broker. It's not so bad in a bull market, but back in 2000 /2001 (when i was working) almost every single broker had pending litigation - either personally or through the branch / firm.