Business Network Missouri
Companies:15,926
Products and Services:359
Articles and publications:188
Tenders & Vacancies:2

Broker Negligence
Information may not be reliable

Broker Negligence Did your broker fail to follow your directives or fail to factor your age and other circumstances relating to your financial situation or needs?

Broker negligence generally occurs when a broker fails to recommend “suitable” investments for the customer based on factors such as age, employment status, financial situation and needs, directives as well as investment objectives and risk tolerance level. A stockbroker has a legal duty to the investor to make investment decisions that are appropriate (or suitable) based on these factors.

Typically, in a “suitability” claim the broker will invest the customer’s assets in securities that are too aggressive for the customer, which in turn subjects the customer’s assets to inappropriate market risk. If the market moves against the investor who is exposed to this unsuitable risk, the losses can be devastating.

view all (3)

Other products and services:

Broker/Brokerage Firm Misconduct Broker/Brokerage Firm Misconduct
Information may not be reliable
Brokers and brokerage firms generally act for the best interests of their customers. Oakes & Fosher handles cases for those situations when they do not.
Excessive Trading Excessive Trading
Information may not be reliable
Excessive trading, commonly referred to as “churning, ” involves the broker trading securities in the account in an excessive manner.

Products and Services of other companies:

Services Services
Information may not be reliable
Broker/Brokerage Firm Misconduct Broker Negligence Excessive Trading Mututal Fund Fraud Outside Investments Conversion Fraud Variable Annuity Fraud
Services Services
Information may not be reliable
Legal services, Securities misconduct attorneys, Stock fraud lawyer, Securities fraud, Investment fraud attonorney, Securities arbitration attorney, Investment attorney
Business details
Investment Fraud Lawyer
×