Stockbroker misconduct covers a wide range of wrongdoing, including intentional acts, negligence, omission that result in financial losses for investors. The most basic fiduciary duty a stockbroker, financial advisor, broker-dealer, investment advisor, and bank have to their customers is that they place their clients’ interests ahead of their own. If a financial advisor’s breach of fiduciary duty, negligence, fraud, theft, or other misconduct causes financial losses for a customers, investors have the right to bring claims, usually through a Financial Industry Regulatory Authority (“FINRA”) arbitration claim, and sometimes in court or other forums against the stockbroker, financial advisor, broker-dealer, investment advisor, or bank. Claims are often resolved through settlement, mediation, arbitration, or litigation.
At Levin Law, our Michigan stockbroker misconduct lawyers are experienced and have a proven track record of recovering losses for investors. Levin Law represents investors domestically, and internationally, who have incurred financial losses at the hands of financial professionals. Our clients include fixed-income retirees, ultra-high-net-worth individuals, family offices, offshore trusts, private companies, public companies, and others. We are dedicated to pursuing the compensation our clients deserve and have recovered tens of millions of dollars for clients throughout the world.
There are many forms of stockbroker misconduct. If you are uncertain whether your investment professional has engaged in misconduct, do not hesitate to consult with an attorney at our firm right away.
Examples of stockbroker misconduct include but are not limited to:
Significant financial loss as a result of misconduct of a stockbroker can be overwhelming and require the guidance of a trusted legal professional. Levin Law pursues justice for our clients aggressively and relentlessly.
Levin Law usually handles stockbroker misconduct on a contingency fee basis. If you suspect that you have suffered financial losses as a result of your investment professional’s misconduct, please contact us for a free case evaluation. We promise legal representation of the highest quality and a tireless effort to recover your lost investment.