Can I Sue My Financial Advisor or Stock Broker?

Suing Your Financial Advisor or Stockbroker for Losses

If you’ve suffered significant losses to your investment accounts, you might be wondering:

“Can I sue my financial advisor or stock broker?”

The quick answer is: Yes, you can sue your financial advisor. If your investment account has suffered losses due to the negligence or wrongful actions of your financial advisor or stock broker, you may bring a lawsuit to attempt to recover full and fair compensation.

To legally work in the securities industry, a financial advisor must be properly licensed.

With a license comes many different legal obligations, including the duty to follow SEC regulations, FINRA regulations, federal law and any applicable state law. Additionally, any brokerage firms that operate in the financial industry are also held to similar obligations.

Did My Financial Advisor or Stockbroker Break the Law?

Can I Sue My Financial Advisor Often, it can be difficult to determine exactly when a legal violation has actually occurred. As such, if you feel that you were in any way cheated or misled by your financial advisor, you should contact an experienced securities fraud attorney to set up an immediate and comprehensive review of your case.

Financial advisor malpractice is typically highly complex and it can arise in numerous different forms. Some of the most common examples of financial advisor misconduct that we deal with includes:

 

Contact Us to Discuss the Possibility of Suing Your Financial Advisor

At the Sonn Law Group, we dedicate our practice to protecting the rights and interests of investors who have been damaged by the misconduct of financial advisors and stockbrokers. If you or a loved one has been the victim of investment fraud, please call our team today at 1-844-689-5754 to set up a free review of your claim. From our primary office in Miami, we protect investors through the United States, Mexico and South America.