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Especially in a time when the market is volatile, and both investors and
financial advisors are scrambling to protect their investment, the door
opens wide for investment misconduct. In times of trouble, the likelihood
that a broker will make an
unsuitable investment recommendation increases dramatically. When your broker recommends an investment, you
trust him or her to choose investments that are suitable for you and your
A couple of examples of suitability can be the following:
You broker should look at any investment in light of your needs before
recommending it. If your broker fails to research the product, offers
a product to you that doesn't match your financial needs, or recommends
an investment for which he receives an incentive without considering if
it is right for you, then you may have an unsuitability claim.
If you suspect your broker made an unsuitable investment recommendation,
you may have one of the following claims:
It can be a fine line, and even if a firm's agreement doesn't say
a fiduciary duty is owed, the circumstances may dictate otherwise. If
you are pursuing a suitability claim, it is highly recommended that you
contact an experienced investment misconduct attorney who can examine
your specific case and explain your options for recovery.
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Investment Misconduct Blog
Texas-based financial advisor David Wayne Krumrey (CRD# 4121845) was terminated from the brokerage firm of Oppenheimer & Company relating to allegations that he violated ...
Bernie Madoff was arrested for stealing $64.8 billion from investors in the single largest Ponzi scheme in United States history less than a decade ago, but Americans are ...
The Financial Industry Regulatory Authority (FINRA) permanently barred registered representative Lisa Lowi for failing to provide on-the-record testimony sought by the ...