Stock Broker Fraud 

What is Stock Broker Fraud and Misconduct?

Stock broker fraud and misconduct is an umbrella term that refers to any fraud or violation of law or regulations by brokers. Stock brokers and brokerage firms are regulated by FINRA, the SEC (Securities and Exchange Commission), as well as federal & state law. Among other things, stock brokers are required to:

Types of Stock Broker Misconduct

If you have been harmed by stock broker misconduct, contact us to discuss your legal options.