Unauthorized Trading Cases: What If Your Broker Placed Trades Without Your Knowledge?
Did you lose money because of a securities transaction you did not authorize? Rules...
Keep ReadingWhat Does Unsuitability Mean in Securities Law?
If an investment is unsuitable, it means that it is not fitting or appropriate...
Keep ReadingOverconcentration: The Risks of Concentrated Stock and Investment Positions
Overconcentration, or “failure to diversify,” is a type of financial misconduct. It occurs when...
Keep ReadingMy Stockbroker Misrepresented an Investment and Omitted Information. What Can I Do?
Before investing, your stockbroker must provide you with all the material information needed in...
Keep ReadingHow to Sue a Financial Advisor for Negligence
Most people hire stockbrokers and financial advisors and stockbrokers to grow and protect their...
Keep ReadingForgery of Your Financial Documents: A Scary Thought
Forged investor signatures can play a key role in financial advisor fraud. By forging...
Keep ReadingFailure to Supervise: Broker-Dealer Misconduct
Brokerage firms have a legal duty to supervise their brokers and the activity in...
Keep ReadingWhat Is Churning? Understanding How Excessive Broker Commissions Work
What Does it Mean for Your Broker to Receive Excessive Commissions (otherwise called Churning)?...
Keep ReadingWhat Is Elder Financial Abuse?
Elderly investors can be especially vulnerable to financial abuse from close family, friends, and...
Keep ReadingWhat Constitutes a Breach of Fiduciary Duty?
New investors often hire financial advisors to manage their investment portfolios. Those financial advisors...
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