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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...

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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...

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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...

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Unsuitability

Unsuitability claims occur when an investor feels their broker recommended and lead them to agree to certain investment vehicles, which were not in ...

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