Examples of Stockbroker Misconduct in Fort Lauderdale, Fl

Investment Brokers, a Trusted Financial Holder of Your Money

Broker misconduct is about the same in all states, including Florida. So perhaps you decide to invest some or all of your hard-earned money in stocks and investments, only to lose your money to a ruthless broker when they are unsuitable brokers who misrepresent you, their client.

Sustaining these monetary losses in stocks can significantly upset you and your family’s finances. Furthermore, entrusting your money to someone you believe trustworthy is grossly upsetting and could turn you against ever reinvesting in what could be a lucrative stock market decision.


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Perhaps you have taken the advice of a stockbroker, and you have started to lose your money. You may mistakenly think this happens, and your investment will bounce back, gaining you a substantial income. Sometimes this is really the case. However, what is your recourse if you are a victim of fraud?

Unfortunately, many investors should keep an eye on their investments and do not. It is within your rights to follow the paper trail of your investor.

It is OK for you, as an investor, to monitor your stock broker, making sure that their losses were not the fault of the changing stock market but the fault of the stockbroker and their possible misconduct.


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Indeed, all laws regarding trading activity are strictly regulated by federal and state authorities. Unfortunately, security fraud happens frequently across all states and in many different forms, including Florida.

Stock broker misconduct is accomplished through many ways to deceive investors. The scheme that some supposedly trustworthy stock brokers use to take advantage of unsuspecting investors and cheat them out of their hard-earned money is plain fraud on the broker’s part.

Some of the ways that investment fraud happens can be seen in the following methods.

  • You can have a limited amount of knowledge about the investment industry, but you should know when actions by your broker do not make sense. Something may be amiss, and you must seek the advice of an attorney whose expertise is securities fraud.
  • Transitions that a stock broker makes must be approved by you. It would be best if you authorized each transaction your broker makes. When you see transactions made that you did not know about, this could signal fraud.
  • You have undoubtedly heard that if a transaction is too good to be true, you must believe that it probably is, and you should never take the advice of a broker who talks you into such transactions. Common sense rules, even in the investment industry.
  • If your broker explains an investment to you and does not justify the actual investment of where they are putting your money, this could signal fraud. Always understand where your stock broker is putting your money.
  • If your broker seems to be informing you of their every move, however, they are putting a lot of pressure on you to approve the transaction, this could signal fraud.
  • You may need clarification on the fact that you have a keen broker buying and selling your stock rapidly. Selling and buying your stock so frequently and quickly could mean that the broker is practicing fraud with your money.
  • An excellent broker acts on your behalf to make healthy investments and create a gradual increase in your initial investment. If you see that your investment is consistently but gradually decreasing in value and you are losing money every month, it may be fraud on behalf of your broker.
  • If you cannot liquidate any of your investments, something is wrong.
  • You could lose a significant amount of money if you do not have some knowledge of margin calls. This is one method some stockbrokers use to create fraud.

How Do I Know I have a Suitable Broker Who Will Protect My Investments?

A stockbroker hired to help you gain in your investments must always have your goals in mind. They must be consistent and always know your risk tolerance. You must hire a broker who knows what you can risk.


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This professional must make recommendations consistent with your financial needs and goals. Your broker’s sworn duty is to see the stage of life you are investing in and your financial profile.

Only some investments or trades are suitable for some investors. Your broker must know what investments are going to be ideal for you. Your broker makes recommendations that are suitable for you. Your broker knows when your money cannot take a specific investment risk.

Your broker must help you understand and relay these risks to you. Your broker must seem reasonable and have a firm basis for making specific investment recommendations. They must always make these investments only if you authorize them to do so.

A private broker or firm for which they are responsible never misrepresents pertinent facts. An excellent stock broker keeps in constant contact with you. They make it a point to discuss with you all the information about the investment points so you will not lose money. Great brokers never omit the risks associated with any investment.

Are You a Victim of Securities Fraud?

You probably have heard there are risks to getting rich through investment in the stock market. You may not know that fraud happened until you discover your money is gone.

Did you resign yourself to the fact that you may lose your money? However, you can recover those losses if the losses occurred because of the misconduct of your broker.

To win any case of this level, you need an experienced attorney to help you prove that you fell victim to securities fraud. This attorney protects your rights and gives you clear and concise opportunities to recover your losses from that stock broker and their firm.

Brokers must answer the policies and rules set by an upstanding brokerage firm. But, unfortunately, sometimes, a brokerage firm is less upstanding than you had thought.

  • Sometimes the broker works against what the firm believes.
  • Sometimes a firm does not supervise that broker closely enough to know that fraud is being committed and report that broker to the authorities.

Call Our Fraud Attorney Today if You Fall Victim to Securities Fraud

We can recover your losses caused by fraud by your broker and the firm they are working for if we can identify that a scam took place.

Securities fraud is complicated to prove. However, we are experienced enough to know if the law will work for you. Our fraud attorney knows when the law is in your favor, and they can recover your losses.

In most ways, your stock broker is sworn as a trusted financial advisor. However, when your stock broker fails to meet their duty of responsibility to you and does not trade within the guidelines of the United States Treasury regulations, you may have a strong case of securities fraud.

If you suspect your stock broker and/or their firm caused fraud with your investments, please call this stock broker misconduct lawyer as soon as possible. We want to stop fraudulent brokers in their tracks and help you recoup your losses.

We will tell you if you have a strong enough case for security fraud. Your first consultation call is free, and we do not collect a fee unless we win your case.


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