Broker Misconduct

Stock broker misconduct also known as broker fraud, occurs when stock brokers commit stock fraud for the benefit of themselves or the benefit of their clients. The clients of stock brokers include private investors, consumers, and corporations. Brokers performing misconduct in their profession typically purchase and sell stocks and bonds on the basis of false information. These practices typically result in major financial losses for the investors being represented by the broker and are in violation of local securities fraud law. Penalties for violating securities laws include lengthy prison terms and hefty fines. Stock brokers will entice their clients to part with their money for stocks or bonds based on untrue or misleading statements.

Acts of Misconduct

The following is a list of the various acts of misconduct that a broker can commit when it comes to securities fraud:

Obtaining Legal Help

If you or a loved one has been the victim of investment broker fraud, contact a securities fraud attorney immediately for expert legal counsel regarding your case. An attorney will perform an in depth investigation into the broker misconduct, file a securities fraud lawsuit on your behalf, and secure compensation for damages incurred as a result of the fraudulent practices by the broker.