We litigate the claims of individual investors who have been wronged by their stockbroker or investment advisor.
Stockbroker misconduct comes in many forms. By number, the three largest complaints involve breach of fiduciary duty, negligence, and investment unsuitability. The unifying element of these complaints is the notion that the investor is not receiving appropriate recommendations given that investor's risk tolerance, investment sophistication, and financial circumstances. Every investor participates in a market that swings both ways, up and down. Losses from ordinary market forces are always a possibility. Losses resulting from broker inattention to your account are recoverable. Losses resulting from broker self-dealing are recoverable. Losses resulting from the broker's failure to tailor an investment plan consistent with your needs are recoverable.