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Home > Stockbroker Misconduct > Stockbroker Negligence

Stockbroker Negligence

Investment broker negligence refers to stockbroker conduct that falls below a standard established to protect investors against unreasonable risk of harm. The cause of action for stockbroker negligence is based upon duties owed by a broker to his or her clients and the breach of that duty. This includes the duty to exercise due diligence and care in connection with a client's account.

For example, a stockbroker who represents and characterizes a high-risk derivative product as a safe, secure and liquid investment could be considered negligent.

Ultimately, stockbroker negligence can result in severe financial losses for an investor. 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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