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If you've encountered any of the following situations as an investor you may have a claim against your stock broker. Most claims will be resolved through binding arbitration:

Unauthorized Trading: "My broker bought and sold stocks without my permission."
   
Breach of Fiduciary Duty: "My broker kept me in the dark about what stocks he was buying and selling."
   
Churning/Excessive Trading: "My broker bought and sold stocks way too often, and sometimes the same stocks over and over, just to increase commissions."
   
Suitability: "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."
   
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."
   
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."
   
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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