Broker Misconduct

Broker misconduct takes on many different forms.  Sometimes investors are sold complex or “alternative” investments that they don’t understand and are not properly advised of the risks.  Other times brokers recommend unsuitable, risky investments that are not appropriate for an individual investors’ investment objectives or appetite for risk.  In some cases, brokers act without even consulting their client or mislead an investor about a particular investment’s features or risks. Frequently, such improper conduct can cost clients all or part of hard-earned savings they have worked for years to accumulate.

If you think you may have been the victim of investment fraud, DWH Legal is the firm to contact for a free no-commitment evaluation.  DWH Legal’s attorneys are uniquely qualified to represent individual investors in any type of investment-related claim against brokers and their firms, as we know the “ins and outs” of how brokerage firms work and how brokers are supposed to operate through our years of experience representing clients in these types of disputes before the Financial Regulatory Authority (FINRA) and other dispute resolution forums, as well as in courts nationwide.  We have experience dealing with the broad range of claims that arise to the level of broker misconduct including:

  • Fraud
  • Misrepresentation
  • Inducement to Retire/Poor Retirement Advice
  • Senior Fraud/Elder Abuse Claims
  • Complex Investments such as REITS, Leveraged ETFs and Structured Products
  • Alternative Investments
  • Unauthorized Trading
  • Breach of Fiduciary Duty
  • Unsuitable Investments
  • Churning
  • Overconcentration
  • Variable Annuity Fraud
  • Failure to Supervise

Our attorneys understand the financial and emotional ramifications of investment fraud and broker misconduct, as well as the stresses it causes to individuals and their families.  We will work to recover any losses or other damages that you may have suffered.  Please contact us immediately if you think you may have been victim or have other questions regarding broker misconduct.