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For whatever reason, you have reached the point where you suspect broker
fraud. It could be that your broker made a transaction without your permission
or recommended unsuitable investments. No matter what has led you to this
place, it is imperative that you understand that there are certain actions
you need to avoid.
What you should not do when you believe you are the victim of broker misconduct...
Send your broker a letter. It may seem logical that you would simply write your broker or brokerage
firm a letter stating your concerns, but that is one of the worst actions
you can take. A written letter could actually hurt your case, instead
of helping it. The defense lawyers for the brokerage firm might use your
letter during the arbitration hearing to discredit your claim. If you
are considering writing a complaint letter, we strongly urge you to contact
a broker fraud attorney first. This warning also applies to emails.
Work with your broker after you suspect something is wrong. If you continue to work with your broker, it can weaken your claim. Once
you have reason to believe your broker caused you to lose money, stop
working with him or her and contact a lawyer.
Agree to a recorded conversation with your broker. Your broker will be prepped on what he or she should say during the call.
If you agree to a recorded discussion with your broker, you could make
a statement that negatively affects your case.
What you should do when you suspect stockbroker fraud...
Contact a securities arbitration attorney. Broker misconduct cases are typically handled in mandatory securities
arbitration. The brokerage firm will employ the help of sophisticated
defense lawyers who will dispute your claim. It is important to hire your
Order a copy of our FREE consumer book. Broker fraud attorney David Meyer has written an informative book that
contains valuable information regarding investor claims.
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Investment Misconduct Blog
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