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Broker Misconduct Questions & Advice

All Broker Misconduct Questions & Advice

My stock broker invested my money in extremely risky CD investments. Is this stock broker negligence?

Question:  I recently found out that my broker put almost all of my money into extremely risky CDS (credit default swaps) investment vehicles. I h...

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If my financial advisor strongly advised me to buy a certain stock, would they be liable for any losses to that stock?

Question: I started working with a financial advisor recently to plan my retirement.  I told her that I was looking for low risk investments but w...

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I’m worried because my broker is buying and selling stocks for me on a very frequent basis. Is this churning?

Question: I’m worried because my broker is buying and selling stocks for me on a very frequent basis.  So far so good – I have not lost any...

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My stock broker is lagging on delivering my monthly statements. I think he made poor investments. Can I get legal help?

Question: My stockbroker keeps telling me over the phone that his last secretary just quit and he hasn’t had the time to replace her. Otherwise, h...

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What does “unsuitability” mean in the context of broker misconduct?

Question: What does “unsuitability” mean in the context of broker misconduct?

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My stock broker made trades on my account without getting my approval first. Is this considered unauthorized trading?

Question:  I just found out that my stock broker made trades in my account without consulting me first.  If I never...

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In Arizona, what are the legal remedies for unauthorized trading fraud?

Question: My parents recently passed away and left me with a sizable estate. I have my money in an account that is managed by a stockbroker. I was a...

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