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Unsuitability: "My broker just didn't take my needs into account when recommending stocks and other investments. He didn't make recommendations which were right for me or my family." |
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Unauthorized Trading: "My broker bought and sold stocks without my permission." |
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Breach of Fiduciary Duty: "My broker kept me in the dark about what stocks he was buying and selling." |
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Churning/Excessive Trading: "My broker bought and sold stocks way too often, and sometimes the same stocks over and over, just to increase commissions." |
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Overconcentration: "My broker didn't explain things to me. He didn't tell me that I could lose money in a particular stock or investment. He made me keep all my eggs in one basket. He just talked about all the money I was going to make." |
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Negligent Advice: "My broker was always acting like he had a crystal ball. He was always making predictions about the markets, and encouraging me to invest on that basis." |
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Order Failure: "I told my broker to sell a stock and he didn't do it. When he finally got around to selling, it was way too late." |
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Failure to Supervise: "How could my broker be allowed to do what he did. Shouldn't someone have been looking over his shoulder?" |
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Misrepresentation/Omission: "My broker promised me my investment was safe and would never lose value, and he never gave me the details of what he was selling to me." |
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