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Many clients think their brokers or investment advisors are responsible for the bad performance of their portfolios. You may have the same complaint. Is there a cause of action? What is the forum and what is the substance of the case? It is not enough that markets are down. Formulating a cause of action requires a knowledge of the securities industry and the broker’s relationship with the customer. Read more >>
Churning is one of the most common frauds committed by errant securities firms and the occasional wayward broker they may employ. It consists of a broker exercising control over a customer’s account, and excessively trading in the account without regard to the customer’s needs and investment objectives. Read more >>