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Broker Negligence


Brokers are hired by their client to watch over and help grow their investments. When brokers slack off on their duty, it often results in massive financial losses for their clients. In such cases the whole firm could be liable.

Failure to Supervise

Brokerage firms are required by law to adequately supervise their brokers to make sure they aren’t manipulating their clients for profit. When they fail to instate proper supervisory systems, negligence and corruption can occur.

There are risks associated with investing, but your broker should not be their source. If your broker’s misconduct has caused you substantial financial harm, we can help you hold them accountable.

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