Brokerage Firm Misconduct

We Aggressively Fight Against Brokerage Firm Misconduct

Investors often rely on brokerage firms and their registered representatives, stockbrokers and financial planners for important guidance and advice in choosing financial products. Brokers have specific duties they owe to their clients, as investments carry risk. Similarly, brokerage firms are supposed to ensure that their representatives are properly trained and supervised. When a financial professional engages in misconduct at any level, individual investors, as well as institutional investors, can suffer substantial financial harm. Investors should be able to trust their financial advisers. Unfortunately, negligence, misconduct and securities fraud are common problems.

The Power To Build A Strong Case Against Brokerage Firms

At Girard Bengali, APC, our lawyers are fierce advocates for investors who have been financially damaged by investment fraud and misconduct. We are committed to pursuing justice and assisting victims of financial and investor fraud. We thoroughly investigate the facts and pursue claims with tenacity and integrity in any securities litigation or arbitration. We have a proven track record and have recovered millions for individual and institutional investors. No case is too large or complex. We have taken on the largest national firms, as well as regional broker-dealers, providing powerful and effective representation for our clients to obtain the best possible results.

A sampling of the common types of misconduct that can harm investors includes:

  • Recommending unsuitable investments
  • Failure to perform due diligence
  • Breach of fiduciary duty
  • Front-running issues or the failure to properly execute
  • Violations of securities industry rules and regulations
  • Misrepresentations, omissions or other securities fraud violations
  • Churning or unauthorized trading
  • The failure to properly train or supervise representatives

Our experience includes a broad range of financial and investment products, including, but not limited to, stocks, bonds, options, exchange-traded funds (ETFs), private placements, mutual funds, hedge funds, variable annuities, derivatives and commodities.

Talk To An Experienced Brokerage Firm Misconduct Attorney

We can review your circumstances and answer your questions about securities misconduct. To arrange a consultation with a seasoned FINRA broker negligence lawyer in one of our three California offices, call 866-778-6821 or send us an email now.