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Brokerage Fraud Questions & Advice

All Brokerage Fraud Questions & Advice

If a broker doesn't execute a trade per the instructions of a client, is the broker liable for broker fraud?

Question: I told my stockbroker to sell one of my stocks but the order was not executed until one day after I told him.  As a result, I lost a sub...

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My stockbroker has been unresponsive for a while and moved my funds with him out of state. What do I do?

Question:  My stockbroker no longer returns my calls and keeps his answering machine on all day.      Rumor has it that he took all of his cli...

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Can I be prosecuted for insider trading when a third party has “tipped” the inside information without my knowledge?

Question: I work for a brokerage firm and often work at home. A visiting neighbor asked to use my computer to check her e-mail. I forgot that I had ...

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