Securities Arbitration

If you've encountered any of the following situations as an investor, you may have a claim against your stockbroker. Contact us immediately. Most claims will be resolved through binding arbitration.

• 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."
• 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."
• 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."
• Failure to Supervise: "How could my broker be allowed to do what he did? Shouldn't someone have been looking over his shoulder?"
• 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."

Copyright @ 2009 Michie Hamlett Lowry Rasmussen & Tweel, PLLC