Have you been the victim of broker misconduct?


There are often two types of people who get heavily involved in investing their money.

First, there are those who are preparing for retirement. They have been carefully tracking the balances of their retirement accounts for years, waiting for that opportunity to leave the workforce and free up their time.

Second, there are those who have earned some extra money and would like to invest it in the right opportunity to attempt to make it grow with a good return on investment.

Of course, there are many other motivations to invest in between these two examples. Wherever you fall on the spectrum of reasons to invest, broker misconduct may become a serious concern.

Watching for misconduct

We’d all like to think that we have made the right decision when we choose a broker to work with on our investments. But, sometimes those decisions can backfire. The financial news reports frequently include stories about brokers who have committed misconduct. The examples are plentiful: excessive trades; improper sales practices; unauthorized trades; outright fraud – the list goes on.

Most people keep a close eye on their investments. After all, financial security is important and is, in many cases, the primary reason to get involved in investing in the first place. However, we don’t always know what to watch for when it comes to broker misconduct. But, if you believe something is wrong, you may want to explore your legal options.