A broker must abide by terms governing any investment under their control. Sometimes, brokers make honest mistakes that cause their clients to lose money. Other times, brokers might intentionally make bad investments simply because those investments pay a higher commission. In either case, clients can hold brokers and brokerages liable for violations of contractual agreements and making ill-advised investments.
Attorney Matthew Wolper
Matt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks.
[Attorney Bio]