Don’t be a victim of stockbroker misconduct!

Investment Recovery – Helping investors for almost 30 years!

FREE CLAIM EVALUATION*

Many victims of stock broker misconduct, especially retirement victims, have no way of recovering lost capital.  Brokers must know their customers’ investment goals, and only recommend investments that are consistent with their customers investments objectives and risk tolerance.  While no one has the goal of losing money, brokers and brokerage firms often fail to use loss management tools that are available to their customers.  Over out twenty nine years of assisting investors in Court and Arbitration, we have assisted thousands of investors.

Don’t continue to be a victim!

If you believe that you have been a victim of stockbroker misconduct, contact us today for a free confidential consultation!!

 

  

What is “Stockbroker Misconduct”?

The most common types of stockbroker misconduct include, but are not limited to, the following:

a. Recommendation of “unsuitable” investments inconsistent with a customer’s investment objective;
b. Excessive trading solely to generate commissions (also called “churning”);
c. Unauthorized transactions, or buying and/or selling without prior permission from the customer or other failures to follow the customer’s instructions; and
d. Misrepresentation and breach of fiduciary duties to the customer.

 

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*Account forensics not included

 

 

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