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What You Need to Know About Broker Misconduct

Broker misconduct is a significant wrongdoing that has cost investors millions of dollars in damages. Failing to conduct oneself in a prudent and reasonable manner while maintaining and supervising an investor’s accounts could be disastrous. Some stockbrokers negligently commit misconduct while others intentionally break the law to defraud clients. Either way, wronged clients with economic losses may be able to bring civil lawsuits in Pennsylvania.

If you or someone in your family recently suffered an economic injury due to broker misconduct, consult with the lawyers from Meyer Wilson. We offer free consultations to prospective clients in Pennsylvania. You could be eligible for compensation.

Why Choose Meyer Wilson?

  • We believe communication is key. Our goal is to return any correspondence from clients within 24 hours of receiving them.
  • We have the experience you need. Our attorneys have represented over 800 investors and won more than $350 million in collective settlements and trial awards.
  • We have five attorneys, a vast support team, and ample resources to put toward building your claim.
  • We accept Pennsylvania broker misconduct claims on a contingency fee basis. You do not have to pay attorney’s fees if we lose the case.

How Can a Broker Misconduct Lawyer Help?

If you are a victim of stockbroker misconduct or another form of investment fraud in Pennsylvania, an attorney from Meyer Wilson could be instrumental in winning your case. Securities litigation and investment fraud law are some of the most complex practice areas in the civil justice system. These cases often involve nuanced state and federal laws, as well as rules from organizations such as the U.S. Securities and Exchange Commission. Hiring an attorney can enable you to successfully navigate these laws and put your case in the strongest position possible to win.

What Is Broker Misconduct in Pennsylvania?

Broker misconduct can refer to either negligent or intentional acts by a stockbroker that cause the client economic harm. Broker misconduct often takes the form of unethical practices such as front running or churning an account for commissions. It could also involve illegal activities such as forging financial documents. If you suffered harm due to any type of broker misconduct in Pennsylvania, consult with an attorney right away.

Your attorney may be able to hold a stockbroker liable for negligent, careless, reckless or intentional misconduct. A negligence claim will come with the burden to prove that the broker failed to exercise reasonable care, while a fraud claim requires proof of scienter, or intentional wrongdoing. Either way, you could be eligible for compensation to pay for your losses if your attorney can prove your case.

Signs of Broker Misconduct

While losing money alone is not a reason to pursue a claim, any unusual activity on your account could point to broker misconduct. This could give you grounds for a damage claim. You might be the victim of stockbroker misconduct if you notice a dramatic change in the composition of your portfolio, you receive excessive trade confirmations, your portfolio concentrates on only one product, the broker is pressuring you into acting quickly, you struggle to obtain funds from your account or your returns do not match the market (consistent returns in a downward-turning market, for example).

Start Your Broker Misconduct Case Today

Working with an attorney from Meyer Wilson can make the process of obtaining compensation for your losses much easier. Your lawyer will take over complicated legal processes while you look toward your future. Start a case today with a free consultation in Pennsylvania.


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