Brokers have a duty to make appropriate investment recommendations based on each client’s individual situation. A broker must fairly and accurately disclose known investment risks. Misrepresentations and omissions most often occur to disguise the magnitude of a risk associated with reward. If a broker misrepresents or fails to disclose facts material to investment decision-making and losses occur, a broker and the brokerage firm can be held liable for an investor’s losses.
A stock broker or brokerage firm’s role is to guide a client’s investment decisions and help them get the most out of their financial lives. They are expected to be a professional source for appropriate recommendations based on the investor’s goals, immediate needs, and long range plans. In sum, the advisor-investor relationship is designed to be a mutually beneficial partnership built on fair, honest and transparent communication.
Unfortunately, there will always be brokers who fail to meet minimum standards of professional responsibility. Sometimes this means they are too inexperienced to make investments in your best interest. Other times it simply means they abuse their positions at your expense.
If you experience:
While not all market losses stem from deceptive practices, some do. When this happens, the cost of broker misconduct is very real and can change lives in an instant. You have rights as an investor. If you note any suspicious activity, or feel you’ve been wronged, you may be entitled to recover losses as a result of broker misconduct.
The Falls & Veach firm is knowledgeable and respected, with a solid reputation for skillfully handling complex litigation, securities and investment disputes for clients nationwide. As accomplished and trusted professionals, he has a wealth of experience in these types of legal matters, and are dedicated to aggressive representation on behalf of his clients. When you need an attorney who’s highly skilled with respect to securities litigation in the nation, call us at 828-398-8288 today.
After uncovering research misconduct within my organization that tied directly to investor harm, I needed an attorney who understood the legal and scientific sides of the issue. Attorneys at Veach Law PLLC handled everything with professionalism.
I discovered that critical information about my portfolio had not been accurately represented to me for years. Tucker Veach, Attorney, and his team investigated the fraud case thoroughly and secured a result I didn’t think was possible.
Veach Law PLLC took on my broker misconduct case when no one else would. Tucker Veach understood the financial loss I had suffered and fought hard through FINRA arbitration to recover what I was owed. I finally felt like someone was in my corner.
Dealing with a broker who falsified data or a situation involving the manipulation of research materials? You deserve clear answers. Reach out to Tucker Veach Attorney for a direct conversation about your rights and your options for recovery.
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A: The four main types are debt securities, derivative securities, equity securities, and hybrid securities.
A: The seven common types are insurance fraud, securities fraud, tax fraud, identity theft, wire fraud, mortgage fraud, and research fraud.
A: Brokers are held to a professional standard. If a mistake results in financial loss, the broker or their firm may be held liable through legal action or FINRA arbitration.
