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Investment Litigation

Although every financial investment involves risk, an investor may suffer financial loss as a result of brother misconduct or investment fraud.

When investment brokers fail to uphold the standard of their profession causing financial harm, legal remedies may be available. A broker may be negligent by failing to inform a client about the risks of an investment or by being ignorant about the risks of an investment. A brokerage firm may be liable for failing to supervise its brokers.

Brokers may owe a legal or fiduciary duty to their clients. Broker conduct may be regulated by State and Federal law. The Financial Industry Regulatory Authority has rules of conduct for every member or member firm. The rules require that brokerage firms establish and maintain a reasonable system to reasonably supervise the activities of a registered representative. Examples of violations of rules of conduct include the failure to properly maintain accurate records of the brokerage accounts, failure to review daily trading activity and the failure to investigate consumer complaints.

Brokers may be liable to their clients for investment wrongdoing including unauthorized trading, unsuitable investments, misrepresentations and the failure to disclose risks.