HomePracticesBroker Negligence

Broker Negligence

Brokers are hired by their client to watch over and help grow their investments. When brokers slack off on their duty, it often results in massive financial losses for their clients. In such cases the whole firm could be liable.

Failure to Supervise

Brokerage firms are required by law to adequately supervise their brokers to make sure they aren’t manipulating their clients for profit. When they fail to instate proper supervisory systems, negligence and corruption can occur.


Call 410-LAW-FIRM if your broker’s misconduct has caused you substantial financial harm, we can help you hold them accountable. There are risks associated with investing, but your broker should not be their source.
Contact lite
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Contact Miller | Stern Lawyers to Discuss Your Case Today

Daniel J. Miller
Rated by Super Lawyers

loading ...
10.0Daniel Joseph Miller