Did Your Broker Leave You Broker?
You probably took great care in selecting an investment firm or investment advisor. Your stock broker probably assured you that your money was in good hands and that he or she had the experience and education to properly invest your money. But then the value of your investment wanes and your broker is not being accountable for previous representations. He or she will not return your calls, and refuses to answer your questions or honor your requests. If this has happened to you, talk to an experienced securities lawyer at the law firm of Hectus & Strause PLLC.
The broker relationship requires trust. The broker has a responsibility to know your circumstances and recommend appropriate investments. When a broker uses your money and your account inappropriately, you have a right to hold that broker accountable for their negligence and misconduct. At our law firm, we have handled broker misconduct cases throughout the United States.
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Stockbrokers and investment firms are required to abide by ethical standards. The temptation to make more money faster often takes over, however, and it is the client who gets hurt by investment wrongdoing. You do not have to accept what has happened to you and your investments.
Did your broker misrepresent an investment or make unauthorized transactions? Did your broker make unsuitable recommendations or take advantage of your trust by buying stocks not appropriate for your financial goals and position? Has your broker churned your account - Made excessive trades to boost commissions?
Broker misconduct can include, but are not limited to:
- Misrepresentation and Omissions
- Unsuitable Investments
- Breach of Promise/Contract
- Failure to Execute Trades
- Failure to Diversify
- Negligence
- Breach of Fiduciary Duty
Too often, people blame themselves for the broker's misconduct. Contact an experienced attorney about what happened to you.
How can you resolve a securities dispute?
At the law firm of Hectus & Strause PLLC, we believe every client is entitled to experienced legal counsel as well as personal service. We are dedicated to protecting the business and personal interests of our clients. Contact us about your legal concerns.
