Broker Misconduct

Investor Claims Is What We Do - All Day, Every Day

Since 1999 our law firm has recovered more than $350,000,000 for victims of investment fraud and misconduct.
  • Jury Verdict Won Against Prudential Securities $262 Million
  • Recovered for 100-Year Old Widow $30 Million
  • Recovered in Retirement Losses $10 Million
  • Recovered for a Large Group of Individual Investors $6.5 Million
  • Recovered for Elderly Victim in Ponzi Scheme Case $3.8 Million
  • Recovered for Elderly Ponzi Scheme Victim $3.2 Million
  • Recovered for More Than 50 Families of Ponzi Scheme in California $3.2 Million
  • Recovered for 35 Families in Northeast Ohio $3.1 Million
  • Losses Recovered for 20 Retirees $3 Million
  • Recovered for Retired Physician Against Major Wall Street Firm Prior to Filing FINRA Arbitration $2.5 Million

California Broker Misconduct

At Meyer Wilson, we have spent years representing clients in lawsuits against negligent and criminal financial advisors. We pursue investor fraud claims and class/mass tort actions all day, every day. Our California broker misconduct lawyers can help you go up against a stockbroker who has betrayed your trust and put your future financial stability at risk. We offer free consultations so you can discuss your specific circumstances with a lawyer who has experience in this practice area. Call (800) 738-1960 today to schedule your meeting.

Why Clients Choose Meyer Wilson for California Broker Misconduct Claims

  • We have proven our capabilities in and out of court, earning more than $350 million in total for our past clients, with a 99% success rate.
  • We commit to open communication, transparency and fast responses. Our law firm has a goal to return any correspondence within 12 hours.
  • We do not back down from fights against large corporations with aggressive legal teams. We can go to trial on your behalf if necessary.
  • We accept California broker misconduct cases on a contingency fee basis, only charging for our services if we win.

Our Lawyers Can Help if a Broker Wronged You

Hiring an attorney to represent your California broker misconduct claim could change things for the better. Rather than navigating this niche and highly complex practice area alone, you can benefit from the protection of an attorney with years of experience. The lawyers at Meyer Wilson know how to help clients who are in financial strife due to broker misconduct. We have strong relationships with state and federal securities regulations, as well as expert witnesses in California to strengthen your case. You will not risk anything in hiring us due to our contingency-fee setup. We can represent your best interests and protect your rights without any fees out of pocket.

What Is Broker Misconduct?

A stockbroker’s job is to purchase and sell securities on behalf of clients in the stock exchange. A stockbroker’s duties are to advise and act on behalf of clients according to their best financial interests, within federal regulations from entities such as the U.S. Securities and Exchange Commission. If a stockbroker intentionally or negligently breaches these duties, resulting in financial losses to the client, the broker is guilty of misconduct.

  • Breach of fiduciary duty
  • Churning
  • Failure to disclose
  • Failure to diversify a portfolio
  • Failure to monitor or supervise
  • Fraudulent transfer of assets
  • Guaranteeing results or profits
  • Insider trading
  • Ponzi schemes
  • Stock market manipulation
  • Securities theft
  • Unauthorized trading

Giving bad advice to a client is not necessarily the same as broker misconduct. To qualify as misconduct that could lead to a civil claim against the stockbroker, he or she must have made an unsuitable recommendation that a reasonable and prudent broker would not have in the same situation. Find out if you have a claim during a free consultation at Meyer Wilson.

Recoverable Losses in a Civil Claim

It is important to go up against a stockbroker for misconduct for many reasons. First, it can hold the broker accountable for wrongdoing and potentially prevent him or her from victimizing other clients. It can also bring you and your family much-needed justice after potentially losing thousands of dollars due to broker misconduct.

You may be eligible for many damages in a civil lawsuit, such as:

  • Lost money or assets
  • Interest or penalty payments
  • Legal costs and attorney’s fees
  • Emotional pain and suffering
  • Punitive damages

You could recover for economic and non-economic damages related to the misconduct a broker committed against you. An attorney from Meyer Wilson can accurately evaluate your claim and help you demand fair compensation from one or more defendants.

Contact Us Today

A free consultation at our local California law office can answer your questions and help you understand what steps to take to move forward with a claim. We can represent you and protect your rights during this difficult time. Start with a meeting with a lawyer from Meyer Wilson. Call (800) 738-1960 or contact us online today.

The Meyer Wilson Way

Results-Focused Representation
  • More than $350,000,000 Recovered
  • Voted Best Lawyers in America┬« for over Ten Years Running
  • David Meyer is the Immediate Past-President of Public Investors Advocate Bar Association (PIABA)
  • Over a Thousand Investor Claim Cases Since 1999
  • Exclusive Focus on Investor Claims & Class/Mass Action Lawsuits
  • Deep Bench of Skilled Attorneys and Staff Members


Meyer Wilson has represented over 1,000 individual investors in high-stakes claims across the country, and has recovered over $350 million on their behalves. See what former clients have to say about our team.

  • “I primarily worked with Courtney Werning throughout the process and she was informative and knowledgeable. I trusted and fully recommend Courtney and her team.”

    - S.R.
  • “The communication throughout the process was on par - and they took the time to indulge me with the various questions and opinions.”

    - R.G.
  • “What I truly appreciated was getting a great result for my Mom with limited involvement/stress on her.”

    - S.W.
  • “We went to arbitration with the other respondent and I got to see firsthand the level of professionalism and expertise the Meyer Wilson firm can deliver.”

    - D.V.
  • “Chad would take the time to call and talk with me. His explanations were always clear and concise. I also appreciate all the effort put into the details and statistics required to argue this case.”

    - P.N.
  • “Meyer Wilson was able to produce the results that we felt were obvious and warranted while several other firms and even state offices simply had trouble understanding let alone moving the case forward.”

    - B.K.
  • “My overall experience was positive and I would encourage anyone who even thinks they have been a victim of stockbroker misconduct to call David.”

    - S.T.
  • “Meyer Wilson represented me in a suit brought last year against my brokerage firm, securing a very fair and equitable settlement for me.”

    - R.G., M.D.
  • “Right from the start, you had the passion and desire to win this case for us. I have never worked with an attorney or firm as compassionate as yours. I would highly recommend your firm to anyone.”

    - G.A.

Talk to Our Team

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