Are You a Victim of Broker Misconduct?

Broker misconduct can manifest itself in a variety of ways. It can be blatant and overt, as in stealing money from you or your account, forging or fraudulently inducing your signature on a document or selling you phony, non- existing securities. It can be more subtle and less obvious, such as spreading your mutual fund purchases among several families of funds to avoid breakpoints, or the failure to advise you to hedge a large block of stock you may have inherited or received as part of a compensation or severance package. It can be somewhere in between, such as unsuitable recommendations to buy, sell or hold a security based on your investment objectives and risk tolerance, misrepresentations and/or omissions of material facts about a recommendation or failing to follow industry rules and standards of practice. What’s critical is to know the difference between bad luck or advice and actionable conduct, which could result in the return of some or all of your lost money.

At Lewins Law, we bring over twenty five years of combined industry and legal experience to the table in determining if you are the victim of broker misconduct, and if so, how to best maximize your potential for recovery.