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Broker Misconduct
All Broker Misconduct Articles
Broker Misconduct
Broker misconduct occurs when stock brokers commit stock fraud for the benefit of themselves or the benefit of their clients. The clients of stock b...
Breach Of Fiduciary Duty
A person that is legally tasked with managing the money of another individual is said to have “fiduciary duties” to the individual whose money t...
Breach of Contract
Under the “shingle theory”, financial advisors, analysts, and brokers entering into a relationship with a customer under the title of an investm...
Failure To Supervise
Inside every brokerage firm, internal controls and accountability systems must be in place to ensure that all information being passed along is corr...
Trade Execution Negligence
Failure to execute trades, also known as a failure to follow directions, occurs when a broker does not execute a trade ordered by an investor. Oth...
Over Concentration
Overconcentration occurs when a broker or brokerage firm fails to diversify an investor’s portfolio holdings, while placing too large of a percent...
Unsuitability
Unsuitability claims occur when an investor feels their broker recommended and lead them to agree to certain investment vehicles, which were not in ...
Broker Dealing Insider Information Misconduct
As investor, taking on risk is the nature of the game, but risks at your expense via illegal or unethical decisions by your broker or dealer are not...
Unauthorized Securities Trading
Unauthorized trading on an investor’s account, which is also known as churning, usually entails some form of excessively trading securities for re...
Broker Registration Violation
Under both federal and state laws, individuals and entities must be registered with Securities and Exchange Commission and the applicable state agen...
Portfolio Margin Account Abuse
Trading on margin accounts has led to some spectacular returns for investors, but more often than not, investors find themselves at a total loss of ...
Misrepresentations and Omissions
Misrepresentation and omissions are two integral claims that must be substantiated to prove securities fraud. Essentially, securities trading are...
Stock Broker Negligence
Has a stock broker invested your money into a risky stock against your wishes? A stock broker is supposed to keep the investor's best interests at ...
Stock Broker Misconduct
Stockbrokers are required to have their client's best interest in mind and to only recommend investments that are suitable for the clients.
Stock Broker Churning
In the world of stocks, bonds, and securities, the term churning is utilized as a distinct label for fraudulent activity or abuse of the stock marke...