What is Stockbroker Misconduct?

Over the years many individuals have made their fortunes or losteverything in the arena known as the "Stock Market".  However, it is important to remember that the market is not Las Vegas and today's investors have varying objectives, goals and ideas as to what they want their money to do.  Unfortunately, not all investors find their objectives adhered to by their advisors or stockbroker.

In many instances, stockbrokers fail to recognize their fiduciary obligations to their investors.  This unfortunate reality will commonly result in substantial financial losses to their investors' accounts.


A few examples of stockbroker misconduct include:

   1.  Recommending unsuitable investments
   2.  Excessive trading to produce commissions (churning)
   3.  Unauthorized training

These and other acts of broker misconduct are actionable, making any lost investment funds potentially recoverable.



           Please contact our office with any questions
                  concerning losses in your account.

•  Recommended an investment without
     properly investigating the investment or
     made exaggerated, unwarranted or
     misleading statements concerning the
     investment?

•  Guaranteed future values of securities or
     made price predictions or guarantees
     against future losses?

•  Engaged in excessive trading within your
     account(s) which resulted in high broker
     commissions?

•  Entered an order without obtaining your
     express and detailed permission prior to
     the trade?

•  Induced you to buy or sell a security based
     upon a rumor?

•  Misappropriated or embezzled funds from
     your account?

•  Recommended investments which clearly
     did not conform with your investment
     objectives or investor profile?