Securities Arbitration

Investors generally sign contracts when they begin investing with brokers and brokerage firms.  These legally binding agreements include an explicit or implied duty to comply with the rules of the SEC and FINRA, as well as the laws and regulations of other federal and state securities regulators.  Such rules include the prohibition of brokers recommending unsuitable investment products or strategies or making misleading communications.  Brokers or firms who violate these rules may have breached their contracts with their investors, giving rise to a claim for damages.

Additionally, oral promises may sometimes rise to the level of a binding contract.  The contracts investors sign to begin a relationship with a broker and brokerage firm include an implicit duty of good faith and fair dealings.  If the broker, brokerage firm, or investment advisor breaches the terms of the contract, they may be liable for losses that the breach caused the investor. 

If you believe you may have a claim, contact Marquardt Law Office LLC to receive a free case evaluation.