inappropriate stockbroker activity

Inappropriate Stockbroker Activity

Stockbroker fraud can rob innocent people of their retirement or even their life savings. Unfortunately, stockbroker misconduct and fraud have become more common in the last few years.

Stockbroker fraud and inappropriate stockbroker activity comes in many forms. While churning, unsuitability, over concentration and misrepresentations are the most common forms of stockbroker fraud, there are many other ways in which stockbrokers can act inappropriately. These inappropriate actions include:

  • execution failures
  • excessive mark-ups
  • disappearing funds
  • botched transfers
  • web-broker outages
  • “selling away” from firms
  • unregistered brokers
  • unregistered securities
  • improper margin liquidations
  • broker bribes
  • fraudulent research
  • Arbitration

If you have suffered serious losses because of stockbroker fraud, stockbroker negligence or other inappropriate stockbroker, you could be forced into arbitration with your stock brokerage firm. You should be represented by an experienced stock broker fraud lawyer in arbitration with a brokerage firm. Contact the Rasansky Law Firm to discuss how our lawyers can help you.

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