Stock Broker Fraud and Misconduct

Reno, NV Attorney serving Nevada & California

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Stock broker fraud and misconduct is all too common. Investors put their complete trust in stockbrokers or financial advisors, only to see their money disappear due to bad advice. Stock broker fraud and misconduct may involve the act of misleading an investor or purposefully providing incorrect advice in order to profit from a client's investment decision. Securities stock broker fraud can include excessively trading  of your account, false statements, misrepresentations, concealment of information, or intentional misuse of investor trust. When information is tainted, investors cannot fairly weigh the risks versus the opportunities, and are more likely to lose money.

Stockbrokers and other financial experts are held to a high standard of honesty and fairness. When a person who is licensed to buy and sell securities takes advantage of his position and fails to provide reliable and complete information to a client, the investor's rights have been violated.

Victims of stock broker fraud and misconduct may be entitled to recover their stock market losses from the broker or the broker's employer, plus additional compensation. Common types of stock broker fraud include:

  • Unsuitable recommendations
  • Unauthorized trading
  • Excessive trading
  • Professional negligence
  • Misrepresentation

Find out more about what constitutes investment and stock broker fraud by visiting www.SEC.gov, or viewing our frequently asked questions page.

Learn more about stock broker fraud and misconduct and what you can do to recover your losses by contacting experienced SEC lawyer Thomas C. Bradley at (775) 323-5178 or completing the form on this page for your free consultation. Mr. Bradley serves San Francisco, Sacramento, Oakland, California and Reno, Nevada.