Failure to Execute

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

Stockbroker Failure to Execute Orders

When Your Broker Failed to Buy or Sell a Stock

There is a level of trust between an investor-client and the broker. In addition, broker and financial advisors have the duty to operate in good faith, which includes executing orders made by the client. When he or she fails to do so, it could be considered stockbroker misconduct. If your broker did not buy or sell a specific security after you provided instructions to do so, you may be able to recover your financial loss. This type of claim is typically referred to as “failure to execute.”

A failure to execute claim could include any of the following:

  • A broker refused to buy or sell a stock
  • A stop loss order was not executed
  • An investor had reason to believe an order was made, even if the broker advised against it

Investment Fraud Lawyer for Advisor Misconduct Claims

If you requested an order be placed on your behalf and your broker failed to timely execute that order, you may be eligible to recover any losses associated with the failure to execute. Brokers and advisors have a duty to operate in good faith. While a component of that duty may be to warn clients against particular purchases or sells when there is reason to consider them inadvisable, if the investor had reason to believe the order was going to be executed in spite of such recommendations, the broker and the broker's firm may be liable for damages.

Investment advisors are required by law to keep an accurate record of order memoranda. If you gave an order to your advisor, then your advisor should have record of this. Keeping accurate records is part of advisor accountability. They should also keep records of powers granted them by the client, written and electronic transmissions regarding agreements, statements and receipts.

Financial advisors may receive orders that they would advise against. Even in these situations, they must clearly communicate their intended actions with their client. These cases can be complex, but we can investigate your case to see if failure to execute is what caused your losses.

Meyer Wilson Can Pursue Your Investor Claim

Broker misconduct cases, such as these ones, are almost always handled in securities arbitration before the Financial Industry Regulatory Authority. During the arbitration hearing, you will be able to present evidence that your broker failed to execute your order and you lost money as a result. The arbitration panel will then decide if you will be able to recover damages.

With over 50 years of combined legal experience, and having successfully represented over 800 individual and institutional investors, the securities arbitration lawyers at Meyer Wilson have the expertise, experience, and resources necessary to review, investigate and aggressively pursue your investor claim for failure to execute. We have won hundreds of millions of dollars in losses for clients nationwide. For assistance with your stockbroker misconduct claim, call us 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.

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