With over 20 years of industry insight.  Let us determine if you have a claim by providing you with a FREE evaluation of your portfolio.  
Our FREE evaluation will include:
  • A complete review of your investment experiences which include your stated investment objectives.  Factors we consider include your age, work history, stage of life, and net worth.
  • Calculating the investment losses in your account.
  • Analyze and evaluate the market conditions during the appropriate time frames.
  • Review and analyze your brokerage account, including fees and commissions charged to your account. 
  • Analyze if the investments were suitable.
  • Evaluate and learn the pattern of trading and activity in your account.

Actionable Offenses

Breach of Contract

A broker and investor enter into a contract when the investor opens an account at the brokerage firm allowing them to handle their investments and money placement.  A breach of contract is a legal cause of action in which a binding agreement or bargained-for exchange is not honored by one or more of the parties to the contract by non-performance or interference with the other party's performance.  If your broker has not complied with his obligations of the contract or has made promises to you that he has not fulfilled you may have a claim for breach of contract.

Breach of Fiduciary Duty

A fiduciary duty is an obligation to act in the best interest of another party.  Brokers and their firms have a fiduciary duty to act in the best interest of the investor.  Investors develop a special trust, confidence, and reliance on their broker to exercise his/her discretion or expertise in choosing the best investment for their account.  When this trust is breached by the broker or its firm whether due to improper investments or excessive trading on the account you may have a claim for breach of fiduciary duty.


Churning is the act of excessive trading by a broker in a client's account largely to generate commissions without the best interests of the investor in mind.  When a broker churns a client's account he is violating SEC rules and is committing securities fraud.  Frequent buying and selling of securities that does little to meet the client's investment objectives may be construed as evidence of churning.  Churning may often result in substantial losses in the client's account, and even if profitable, may generate a tax liability for the client.

Failure to Supervise

Supervisors and broker dealer firms have a duty to supervise their broker's accounts to make sure the broker is properly handling the investor's money.  Compliance personnel at the brokerage firm must reasonably supervise with a view to preventing violations of the federal securities laws, the Commodity Exchange Act, the rules or regulations under those statutes and the rules of the Municipal Securities Rulemaking Board.  When Supervisors ignore "red flags" or other suggestions of irregularity they become liable for the broker's actions.

Misrepresentations & Omissions

A misrepresentation occurs when a person makes a false statement of fact or omits material information in order to induce the other party to act.  A broker has a duty to make proper investment recommendations to his customers and convey all relevant information regarding the investment to the customer in an accurate manner.  If your broker has made false statements or promises of returns to you in order to induce you to make purchases of a particular security you may have a cause of action for investment fraud against the broker and his/her firm.


Negligence occurs when a fiduciary fails to take proper care in fulfilling his or her duties.  A broker has a fiduciary duty to properly invest your money according to your account objectives and investment experience.  If your broker has been negligently handling your account, you may have a claim against the broker and his/her firm.



A broker's duties includes gathering all of the information necessary to ensure recommendations made to an investor by the broker are suitable for the investor's goals and circumstances.  A broker has a duty to invest a client's money in suitable investments based on many factors including the investors account objectives and investment experience.  When your broker has chosen an investment strategy that does not meet your objectives and means, he has breached his duty and you may have a claim against your broker and his/her firm for stock fraud.