Broker Fraud & Negligence Attorneys

When brokers put their own financial interests ahead of yours — that is fraud. The Frankowski Firm fights to hold them accountable and recover what you lost. No fees until we win.

Call 888-741-7503

Common Forms

How Brokers Commit Fraud

Misrepresentation

Your broker told you something false about an investment to get you to buy. One of the most common and provable forms of securities fraud.

Churning

Excessive trading designed to generate commissions rather than benefit you. Provable through turnover ratio and cost-equity ratio analysis.

Unsuitable Recommendations

Investments recommended that didn't match your financial situation, risk tolerance, or objectives. Violates FINRA's suitability rules.

Unauthorized Trading

Trades executed without your knowledge or approval. A clear FINRA violation regardless of whether the trades were profitable.

Failure to Supervise

Brokerage firms must supervise their brokers. When they fail to do so and a broker causes harm, the firm can be held liable.

Failure to Diversify

Concentrating your portfolio in a single security, sector, or asset class without proper disclosure of the risks involved.

Selling Away

When a broker sells securities outside the scope of their firm's approved products — a serious FINRA violation.

Material Omissions

Withholding important information you needed to make an informed decision. Omissions are just as illegal as false statements.

Self-Dealing

Recommending products that pay higher commissions regardless of suitability. Putting the broker's interests ahead of yours.

Take Action

Think Your Broker Committed Fraud?

Many investors don't realize they have a valid legal claim. Contact us for a free consultation — we'll tell you honestly whether you have a case.

888-741-7503