The securities broker violates the broker's specific obligations, such as disclosing relevant business information, customer information and other business secrets of the business department. ; You must accept administrative punishment, and if you cause losses to your customers because of your irregular service, you should bear civil liability for compensation.

If the circumstances are serious, such as defrauding investors to buy or sell securities and causing heavy losses to customers, they may also be investigated for criminal responsibility. Instead of revealing the stock market risks to them, brokers made high-yield statements many times in the process of business introduction, which seriously misled customers and caused serious losses to customers, so they need to be investigated for criminal responsibility. At the same time, securities companies also need to bear corresponding joint and several liabilities.