Stock Broker Fraud Attorneys

Financial advisors and securities brokerage firms have a legal duty to monitor the actions and recommendations of their brokers to make sure the broker is complying with both FINRA rules and state and federal securities laws. When a broker dealer fails to supervise a broker’s conduct, the firm can be held liable for its failure to supervise. The Frankowski Firm’s attorneys usually bring two claims when a firm fails to watch over broker misconduct for fraud. The first claim is an action against the broker for negligence or securities fraud. The second claim is against the brokerage firm or supervisor for failing to oversee the broker. We handle complex supervision claims for investors throughout the country. Contact us today if you or a loved one have lost money with a broker, we offer a free consultation to review the cause of your loss.

www.frankowskifirm.com/…/broker-…/failure-supervise/

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