Inappropriate actions by a broker or investment firm can result is significant losses for an investor. Mismanagement of a financial portfolio can include failure to disclose material information, providing deceptive information and other improper actions by a broker.
If you experience unreturned phone calls, newly purchased investments that lose value, trends in your monthly statement that comparable, unauthorized transactions, or explanations that you don’t understand, please contact us for an investigation.
Broker misconduct can be difficult to identify. It is important that you protect the assets that you have earned.
The Financial Industry Regulatory Authority (FINRA) is an independent organization that enforces the rule governing registered brokers and broker dealer firms in the United States.
If an individual has a dispute with a FINRA broker, the individual may be required to arbitrate the dispute according the FINRA’s Dispute Resolution. Arbitrating disputes pursuant to the FINRA is often quicker and less expensive than traditional lawsuits.
Miller Law Group, PLLC of many years of experience fighting victims of fraud and abuse. If you believe you have been a victim of Broker Misconduct or Securities Fraud, please contact us for a free consultation.