Investor Claims Against Stock Brokers

Authored by , LegalMatch Law Library Managing Editor and Attorney at Law

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Most Common Finance Law Issues:

What Are Some Typical Claims That Clients May Have Against Their Stock Brokers?

Problems that arise in the broker-client relationship regarding investments generally occur in the following areas:

How Do I Resolve My Problem If I Believe My Broker Acted Wrongfully In Handling My Account?

If you have a complaint against a broker on how your account was handled, there are several preliminary steps you can consider in an effort to resolve your complaint:

Do I Need An Attorney If I Feel That I Have A Claim Against My Stock Broker?

If negotiating with your broker and complaining to his branch manager has not led to a resolution of your problem, then you should retain an attorney to help with the problem. An attorney experienced with securities law can advise you whether you have a claim and inform you of your best course of action.

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Last Modified: 11-28-2011 04:09 PM PST

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