Miami Stockbroker Misconduct Lawyer

Do you believe your broker is responsible for your investment losses? Get help bringing them to justice by contacting a qualified stockbroker misconduct lawyer in Florida.

Registered stockbrokers have a fiduciary duty to always act in the best interests of their clients. When your stockbroker fails to uphold this obligation, you may be able to pursue a complaint through the Financial Industry Regulatory Authority (FINRA) and get your money back.

When you go up against your brokerage firm or your broker, you’ll want to have an exceptional Miami stockbroker misconduct lawyer to build your case. At Wolper Law Firm, P.A., we are committed to obtaining maximum restitution for wronged investors just like you. If we are able to take on your case, you can rest easier knowing our team of lawyers is advocating for your rights.

Types of Stockbroker Misconduct in Miami

Financial advisors and brokerage firms have gotten creative over the years with the various ways that they can defraud their investors. In fact, some have been able to fly under the radar for years without getting caught—allowing them to earn considerable gains while their investors suffered losses.

It often isn’t until an investor loses a considerable amount of money that these schemes are uncovered. But stealth aside, some types of stockbroker misconduct are more common than others, such as:

  • Unsuitable recommendations
  • Failure to supervise
  • Lack of diversification
  • Selling away
  • Churning
  • Unauthorized trading
  • Misrepresentation
  • Omission
  • Negligence
  • Ponzi schemes
  • Insider trading

These are just a few of the ways your financial advisor or institution could be responsible for your investment losses. If you believe your broker is liable in another way, you can reach out to a stockbroker misconduct lawyer in Miami to further discuss the details of your case.

FINRA Arbitration for Miami Stockbroker Misconduct

FINRA arbitration is a common way for wronged investors to go about recovering their investment losses. Your Miami case will either be heard by a single arbitrator or a panel of three arbitrators, depending on how much your stock losses were worth.

In your hearing, your lawyer will present financial statements, communication exchanges, and other pertinent information that shows that your broker and possibly your brokerage firm are responsible for the losses you suffered. Then, your stockbroker will have the chance to offer an explanation for their decisions and defend themselves.

Once both parties have made their case, the arbitrators will review the evidence and come to a decision. The great thing about arbitration is that you could be compensated in as little as eighteen months if your case is successful.

Get Help from a Stockbroker Misconduct Lawyer in Miami

When you have suffered massive investment losses due to the actions of your broker, you could get your money back by pursuing a FINRA arbitration complaint. Reach out to a respected Miami stockbroker misconduct lawyer at Wolper Law Firm, P.A. to discuss the details of your case.

You can schedule a free, no-obligation consultation by calling our office at 800.931.8452 or filling out the quick contact form below.

Attorney Matthew Wolper

Attorney Matthew WolperMatt 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]