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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
Stockbroker malpractice occurs whether the stock market is up, down, or sideways. On this edition of “Cover Your Assets”, Attorney David Meyer shares examples of ...
Wendel Allegedly Sold Woodbridge Ponzi Scheme Investments to His Clients Back in November, the investment fraud lawyers at the law firm of Meyer Wilson announced their ...
The Securities and Exchange Commission (SEC) is creating a website with a searchable database that lists suspended or barred brokers who have committed federal securities law ...