Brokerage Firm Fraud
Brokerage firms must supervise, training support stock brokers and financial advisors. When the Brokerage firm fails to supervise or oversee the activities of the advisor or broker, they can be liable for their negligent supervision.
Brokerage firms must comply with state and federal law, as well as regulatory rules. If a firm violates the law or regulations, the are liable for any financial damages as a result of the violation.
If you've lost money as a result of a brokerage firms misconduct, contact our office to discuss your options.