Lifting the fog on your losses when you've been led down the wrong path.

Challenging Broker Misconduct


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Broker Misconduct

Brokers have a duty to make appropriate investment recommendations based on each client’s individual situation.  A broker must fairly and accurately disclose known investment risks. Misrepresentations and omissions most often occur to disguise the magnitude of a risk associated with reward. If a broker misrepresents or fails to disclose facts material to investment decision-making and losses occur, a broker and the brokerage firm can be held liable for an investor's losses.

A stock broker or brokerage firm’s role is to guide a client’s investment decisions and help them get the most out of their financial lives. They are expected to be a professional source for appropriate recommendations based on the investor's goals, immediate needs, and long range plans. In sum, the advisor-investor relationship is designed to be a mutually beneficial partnership built on fair, honest and transparent communication.

Unfortunately, there will always be brokers who fail to meet minimum standards of professional responsibility. Sometimes this means they are too inexperienced to make investments in your best interest. Other times it simply means they abuse their positions at your expense. While not all market losses stem from deceptive practices, some do. When this happens, the cost of broker misconduct is very real and can change lives in an instant.

You have rights as an investor. If you note any suspicious activity, or feel you’ve been wronged, you may be entitled to recover losses as a result of broker misconduct.

The Falls & Veach firm is knowledgeable and respected, with a solid reputation for skillfully handling complex litigation, securities and investment disputes for clients nationwide. As accomplished and trusted professionals, he has a wealth of experience  in these types of legal matters, and are dedicated to aggressive representation on behalf of his clients. When you need an attorney who’s highly skilled with respect to securities litigation in the nation, call us at 828-398-8288 today.


If you experience:

  • Chronic unreturned phone calls.
  • Unauthorized transactions on your account statement.
  • Statements that include charges and earnings you cannot identify.
  • Stock values that drop quickly.
  • Market trends and earnings that are not comparable.
  • Broker recommended investments that decline in value more times than not.
  • Lack of disclosure of pertinent information to your decisions to invest by your broker.

Call us. Often times,
we can help.


Actionable Broker Misconduct

Margin Account Abuse


Over Concentration


Failure to Execute


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