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Representing Individual, High Net Worth & Institutional Investors

Offices in Indiana and New York City

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Home > Stockbroker Misconduct > Stockbroker Fraud

Stockbroker Fraud

Investors lose billions of dollars each year to stockbroker misconduct, investment firm negligence and securities fraud. In recent months, these investment losses have escalated to astonishing levels, with Wall Street and Corporate America facing accusations that range from gross investment negligence, to stockbroker incompetence, to securities fraud and theft.

Investment fraud, stockbroker negligence and stockbroker misconduct can occur in a number of ways. Some of the most common types of stockbroker misconduct are outlined here.

Stockbroker fraud entails deceptive practices designed to benefit the broker's interests at the expense of the client. These deceptive practices may include making outright false statements about financial products, intentionally withholding material information about an investment, or utilizing other mischaracterizations that ultimately misrepresent an investment or provide an incomplete and inaccurate portrayal.

Victims of stockbroker fraud can include anyone: Individual investors, retirees, small businesses, corporations, pension funds, and institutional investors. For a free initial consultation regarding your securities claim, contact Mark Maddox at 800-505-5515. Or, fill out the contact form on this Web site to obtain candid legal advice.


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