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 acceptable.  Wronged investors have legal recourse for recouping losses, clearing their names, and punishing investment professionals, dealer, and stockbrokers engage in securities fraud. 

Broker Fraud Through Misleading Securities Information

Some of the most commonly cited claims include breach of fiduciary duty, broker negligence, unsuitable investments, issuing false promises, providing false or misleading information, failure to supervise activities, and engaging in churning practices.  Even experienced investors are susceptible to fraud, which may simply be a broker advising to a client to make financial transactions based on insider information, which was not known to the victim investor.  This activity will not only benefit a given trader, but also, possibly help them meet goals for the financial company and bolster their clients desire to remain trading with the entity and individual broker. If you feel your portfolio has suffered due to any of these and various other negligent broker activities, you have legal recourse against a given broker, brokerage firm, or financial investment professional via an investment fraud attorney. 

Finding Legal Help

An investment fraud lawyer can file claims against negligent parties with the NASD Dispute Resolution, Inc. or the FINRA Dispute Resolution, Inc., which arbitrate claims regarding NASDAQ and NYSE securities, respectively.  Contact a securities fraud attorney immediately to retain all your legal rights for possible future litigation against negligent brokers and dealers.