When it comes to negligence claims against financial professionals, the central issue is whether the advisor’s conduct fell below the applicable standard of care. This means whether the advisor followed securities industry rules and standards or acted in a reasonably prudent manner in their relationship with the customer. .
If you have experienced financial loss due to the negligence of your advisor, you may be able to hold the brokerage firm liable. Advisor negligence cases are generally handled in arbitration before the Financial Industry Regulatory Authority (FINRA). Our experienced lawyers represent investors nationwide in securities arbitration and litigation claims. For a free case evaluation, contact us by filling out our online form.
Before you invest, we encourage you to research your broker by searching their CRD number.