Did Your Broker Leave You Broke?

Too often, people blame themselves for their stockbroker's misconduct. Brokers may gloss over important details that clients need to know about, making an investment sound less risky than it actually is. Clients may think they understand what their brokers are talking about, but the stockbroker may be intentionally talking over their heads.

If the value of your investments has waned, and your stockbroker has refused to return your phone calls or honor your requests, it may be time to talk to an experienced investment fraud attorney.

Contact The Strause Law Group, PLLC, in Louisville and Lexington, Kentucky. Don't blame yourself for your broker's misconduct.

Broker Misconduct/Investment Fraud

  • 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 that were not appropriate for your financial goals and position?
  • Has your broker churned your account or made excessive trades to boost commissions?

The investor/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 his or her negligence and misconduct. At our law firm, we have handled broker misconduct cases throughout the United States.

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.

Broker misconduct can include:

  • Misrepresentation and omissions
  • Unsuitable investments
  • Breach of promise/contract
  • Failure to execute trades
  • Failure to diversify
  • Negligence
  • Churning
  • Breach of fiduciary duty

How can you resolve a securities dispute?

Contact Us

Before you blame yourself for your stockbroker's misconduct, talk to an experienced investment fraud lawyer. We believe every client is entitled to experienced legal counsel and personal service. Call 502-498-8268 or 859-428-7029 or email us about your legal concerns.