Investors’ typical claims against brokers

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Home > Law Advice > Broker Disputes > Investor Claim Broker

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What are investors’ typical claims against brokers?

Problems that generally arise in the broker-client relationship occur in these areas:

(1) false or misleading information that induced you to trade (fraud);

(2) excessive trading to generate more commissions for the broker (known as "churning");

(3) trading without your authorization;

(4) sending you a confirmation when you have not agreed to buy the stock (known as a "wooden ticket");

(5) recommending excessively risky investments for your circumstances ("unsuitability");

(6) forgery or theft;

(7) distributing misleading investment documents; and

(8) negligent or unsuitable recommendations.

Related Information
» General Questions	» Claims
» How to resolve	» Government agencies
» Churning accounts	» Clearing houses
» Legal help	» Employee disputes
» Broker Misconduct

Topics Related To Broker Disputes
» Financial Law	» Banking Law	» Broker Disputes
» Commodities Law	» Investment Terms	» Raising Capital
» Securities Law

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