Broker Misconduct

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Concerned About Investment Losses Due to Broker Misconduct?

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Attorneys for Broker Misconduct Compensation Claims

Our team of investor rights lawyers seek compensation for investors who lost money as a result of misconduct by their brokers or investment professionals. Investors who believe they have suffered substantial losses as a result of their broker’s improper investment recommendations or other misconduct are encouraged to contact Rosca Scarlato attorneys Alan Rosca and his team at 888-998-0530, arosca@rscounsel.law, or leave a message on this page to discuss their case.

Broker misconduct that results in losses to investors can take many forms, including the following:

  • Recommendation of investments that are unsuitable to the investors, such as overly risky or illiquid investments;
  • Recommendation of questionable investment products without first conducting due diligence as to those products and their issuers;
  • Account churning, i.e. conducting large numbers of trades that generate sales commissions for the broker but over time result in inadequate performance for the client;
  • Recommendation of investment products with high or unjustified fees.
  • Unauthorized trading in customer accounts.
  • Unauthorized transfer of funds from customer accounts.

Often times, the securities broker-dealer or investment advisory firms that employ such brokers or advisors may be held liable for losses suffered by investors as a result of those brokers’ or advisors’ improper conduct. Securities broker-dealer firms and investment advisory firms typically have a duty to adequately supervise their employees and prevent them from victimizing the investing public.

Some brokers or brokerage firms that engage in such misconduct are repeat offenders, and other customers of those brokers and firms have faced similar mistreatment. Brokers and brokerage firms may also try to pressure victimized customers into accepting the consequences of their improper conduct or taking a small settlement payment to give up their claims arising out of such misconduct.

If you believe you may have lost money due to misconduct by your broker or investment professional, contact us for a free, no-obligation consultation regarding your legal situation and potential recovery options, by phone at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this page.

Pending Broker Investigations

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

Contact us at 888‑998‑0530 or through the contact form on this page.
No recovery, no fees.*

How to contact us?

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