When individuals and families begin investing in securities with their hard-earned money, they invest with a practical mindset that their investments may not always turn into substantial profits. They understand that stock prices fluctuate and that markets rise and fall. However, investors do expect one important thing in return – that their brokerage firms and stockbrokers act on behalf of their interests and uphold their fiduciary duty to their clients. Unfortunately, this is not always the case when brokerage firms fail to supervise their financial advisors from breaching their fiduciary duty. Moreover, they can intentionally mismanage your brokerage accounts for the purposes of securing commissions.

Here at our Firm, our attorneys understand the inherent risks in investing. Our primary goal is to represent investors who have lost their hard-earned savings and retirement when their brokerage accounts were mishandled. Our Firm represents investors who have suffered substantial economic loss as a result of one or more of the following types of broker misconduct:

  • Negligence
  • Suitability
  • Failure to Supervise the Activity of a Customer Account
  • Failure of the Brokerage Firm to Adequately Supervise the Broker
  • Breach of Fiduciary Duty
  • Misrepresentation and Fraud
  • Overconcentration and Lack of Diversification

If you have experienced substantial losses that you believe may have been caused by any of the above forms of misconduct, or by any other act or omission which may have contributed to your losses, please do not hesitate to schedule a consultation with our attorney.