Stock Broker Malpractice

Stock Broker Malpractice

There are many types of Stock Broker Malpractice:

Stock Brokers and Financial Advisors have certain fiduciary duties to their clients or customers. They are entrusted with your funds and must abide by certain Securities Rules and Regulations as well as standards of care in investing and handling your funds. If a Stock Broker fails to protect your funds, he may be guilty of malpractice.

The most obvious form of malpractice is theft, fraud and misappropriation of funds. Other types of stock broker malpractice are unauthorized trading, churning, failure to diversify and investing in unsuitable or risky products.

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