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Broker Misconduct

Your broker has a duty

You trust and pay your financial advisor to manage your hard-earned savings and retirement funds. Your broker has a duty to recommend investments that are suitable for you, and to make disclosure of the recommended investments, including the fees and the risks.

When your broker fails to act professionally or honestly, the financial consequences and emotional pain can be devastating.

The misconduct of unscrupulous financial advisors can destroy lifelong efforts to plan and save for a meaningful retirement.

Financial advisors work in a highly regulated environment, but these regulations are technical and therefore difficult to understand. Detecting misconduct or fraud requires a deep understanding of the wide variety of investment products and the complex world of securities trading. The account statements you receive are often hard to decipher, particularly the commissions, fees and other costs you might be paying without even knowing.

Because of the fine print on your account documents, disputes with your broker must typically be pursued through the specialized forum of securities arbitration, not a standard court of the law. Therefore, you need a lawyer with the experience unique to this area of law.

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