Brokerage Firm Liability

Proving Brokerage Firm Liability for Investors' Losses

In most securities arbitration cases, the brokerage firm often will be held financially responsible for the stockbroker’s negligence, fraud or other misconduct. In some situations, the brokerage firm also can be found independently liable for its own failure to supervise its brokers.

For a free initial consultation about your rights against brokerage firms in securities arbitration proceedings, contact a dependable and experienced attorney at the South Florida law firm of Dimond Kaplan & Rothstein. We represent investors in Florida and nationwide in claims to recoup investment losses due to stockbroker misconduct.

Does your broker's employer know what has been done to your portfolio?

Our experience allows us to investigate a stockbroker misconduct claim for signs that the brokerage firm is exposed to liability of its own. We scrutinize the steps taken by the brokerage firm to protect its clients from the negligent or fraudulent conduct of its brokers. Following are examples of cases where the brokerage firm could be liable for its own misconduct:

• Negligent hiring of brokers
• Negligent supervision of brokers
• Tolerance of unlawful or unsound trading practices
• Inadequate internal investigation of complaints and allegations against brokers
• Failure to implement effective remedial measures upon findings of wrongdoing

Call 888.578.6255 to discuss your claim with a securities arbitration lawyer

To learn more about your rights against a brokerage firm as well as your broker, contact an experienced stockbroker liability attorney at Dimond Kaplan & Rothstein in Miami or West Palm Beach.