Broker Misconduct
Claims by investors against their stockbrokers and other investment advisors fall into four basic categories. The most common claims that we have seen are:
Stock Broker Fraud Blog - Broker Fraud
- Do Brokers Owe a Fiduciary Duty to Clients? An article published this week in Slate talks about how despite what many might think, brokers in fact do not owe clients a fiduciary duty to give ....
- Broker Settles SEC Charges He Defrauded Elderly Nuns Broker Paul Chironis has agreed to settle charges that he defrauded the Sisters of Charity. The US Securities and Exchange Commission is accusing the ....
- Ex-Financial Adviser Pleads Guilty to Unauthorized Trading Involving Disabled Children’s Assets Charles Winitch has pleaded guilty to involvement in a securities fraud scam that victimized disabled children. In the U.S. District Court for the ....
