Lose money after investing in a GPB Capital Holdings Fund? take action
We can help recover your investment loss. Free consultations, always. CONTACT US

What Are A Stock Broker’s Legal Obligations to Me?

Stock brokers owe four main duties to their investing customers:

  • The duty to recommend only “suitable” investments.
  • The duty to disclose all material facts regarding an investment and to not misrepresent material facts about the investment.
  • The duty to put their investing customer’s interests ahead of their own.
  • The duty to engage in transactions only after receiving authorization from the investing customer.

An investment is “suitable” if it meets the customer’s investment objectives and is consistent with their tolerance for risk, their age, employment status and overall financial condition. An investment can be unsuitable if it (a) is too risky given the customer’s age and financial condition or (b) is too conservative given the customer’s need to earn a reasonable rate of return on his or her investments.

Now is the time to talk to an investment loss recovery lawyer. We can help recover your investment loss. Free consultations, always.
or call 800.931.8452
Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: 800.931.8452

Additional Office Locations (by appointment only)

3355 Lenox Road
Suite 7
Atlanta, GA 30326


13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016


3102 Maple Ave.
Suite 400
Dallas, TX 75201


5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220


7900 E. Union Ave.
Suite 1100
Denver, CO 80237


1700 Park Street
Suite 103
Naperville, IL 60563


1001 Fourth Ave.
Seattle, WA 98154