Florida Stock Broker Fraud

The Florida Office of Financial Regulation, Division of Securities ("the Division"), is responsible for monitoring and regulating Florida stock broker fraud and securities-related issues. Pursuant to the Florida Securities and Investor Protection Act, it is unlawful for any person to act fraudulently when giving investment advice, or in connection with any transaction involving securities. Therefore, the Division investigates complaints regarding professionals in the financial and securities industries, and takes appropriate administrative actions against professionals who have committed fraud. The Division also has the power to seek injunctive relief in cases of Florida stock broker fraud, as well as any fraud involving other investment or securities professionals. Finally, the Florida Office of Financial Regulation offers consumers extensive information about licensed investment professionals and securities brokers, including past disciplinary actions, employment histories, and other detailed background information, which can help consumers avoid becoming the victims of financial fraud in the state of Florida.

Fast Facts

  • In 2008, there were a total of 2,822 licensed financial professionals in the state of Florida, which includes brokers, dealers, and investment advisors.
  • In 2008, there were over 18,000 licensed financial professionals operating in the state of Florida.

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  • Stock Broker Fraud Lawyers

    Millions of dollars in stocks are traded in the stock market on a daily basis....
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  • Stock Broker Misconduct Attorneys

    Stockbrokers are required to have their client's best interest in mind and to only recommend investments that...
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  • Unauthorized Trading

    When a professional relationship with a stock broker is established, the client may give the stock broker wri...
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  • White Collar Crimes

    In 1939, a professor by the name of Edwin Sutherland came up with term ...
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