Investors have a right to the truth.
Both novice and highly sophisticated investors have a right to rely upon the investment advice of their stockbroker or investment professional and to believe that investment advice rendered by these professionals is not the product of negligence nor is tainted by financial self-interest. The federal securities laws require the full and fair disclosure of all material facts in connection with the sale of securities.
Here are some the fraud cases we cover:
Every day, some investors are frauded by their stockbrokers resulting in investment losses. Learn ways stockbrokers act negligently and the types of stockbroker misconduct claims.
Sometimes a financial crime is simple: the stockbroker steals their client’s money. We explain how stockbrokers steal from clients and how our law firm can help.
Elder Financial Abuse
It is estimated that the annual financial loss by victims of elder financial abuse is at least $2.9 billion dollars. Learn how we fight for senior citizens vulnerable to loss.
Your stockbroker is responsible and liable for making any unauthorized trades without the customer’s prior authorization or consent.
If your stockbroker was careless or negligent resulting in actions like failing to execute an order, executing the wrong order, failing to transfer funds, or failing to exercise options, you may have a claim against them.
Breach of Fiduciary Duty
When a stockbroker does not act in a customer’s best interests, is conflicted, engages in self-dealing, lacks candor or honest, or does not exercise due care, that broker has breached their fiduciary duties.