Broker Misconduct

Have you or a loved one been ripped off by your financial advisor or stockbroker? There is nothing more devastating than losing your savings or retirement funds, especially if it's at the hands of a trusted broker.

At Morgan & Morgan, our broker misconduct attorneys are experienced at representing investors who have suffered investment losses because their brokerage firm or financial advisor committed fraud. If you have lost money as a result of fraud or misconduct, you are entitled to recoup your losses.

Our attorneys have been fighting For The People for over 30 years and have recovered, to date, over $9 billion for our clients. Because we work on a contingency basis, there are never any upfront costs and we don’t get paid unless we win for you. 

Don’t take on your brokerage firm alone. At Morgan & Morgan, we know how to fight against the biggest bullies. Contact our specialized, broker misconduct attorneys today by filling out a free, no-obligation case evaluation form

What is Broker Misconduct?

Several common types of investment fraud involve broker misconduct. Our attorneys can represent you in several broker misconduct claims, including the following:

  • Excessive Trading: This is also known as “churning” and happens when your broker makes excessive trades in your account for the purpose of generating broker commissions. 
  • Misrepresentation or Omission: Your stockbroker is not permitted to misrepresent or omit important facts about a recommended investment.
  • Unauthorized Trading: Your broker needs your authorization before making any transaction in your non-discretionary account. 
  • Unsuitable Investments: If your broker invests your money in a way that is not consistent with your investment objectives or needs, then these transactions may be characterized as unsuitable. For example, making high-risk investments if you have a low-risk tolerance or over concentrating your money into one stock or security.

How Can an Attorney Help Me?

If you notice unexplained significant losses on your investments, our attorneys can review the trading history of your account to determine if investment fraud may have occurred. If we determine fraud occurred, our attorneys may be able to help you receive compensation for the damages you suffered.

Most broker misconduct cases are handled through FINRA arbitration. Arbitration, which is similar to going to court, allows two or more parties to select a neutral third party (called an arbitrator) to resolve securities disputes. An experienced broker misconduct attorney can help you file your claim and navigate the arbitration process. 

At Morgan & Morgan, our attorneys regularly battle brokerage firms in FINRA arbitration. And we have the resources to take on the biggest bullies in America, like brokerage firms and banks. We have helped investors recover millions of dollars in losses caused by broker misconduct. 

Contact Morgan & Morgan

Morgan & Morgan handles broker misconduct cases on a contingency basis, which means you will never pay any upfront costs. We only receive a fee if we recover money for you.

If you believe you have suffered losses due to broker misconduct, contact us immediately by filling out our free, no-obligation case review form

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