Stock Broker Negligence

Stock Broker Negligence2023-05-10T20:45:35-05:00

Lost Money in the Stock Market?

You work hard to set aside savings for the future. You contribute to your 401(k), you set extra aside for your kids’ college education, you invest a little extra for a comfortable retirement. You depend upon your broker and your employer to provide you with good guidance to invest your savings wisely and safely in the good times and the bad.

So when the market drops and you find yourself surprised by how much you’ve lost due to risky investments, fees, or simply bad advice, then your broker may be in violation of their Fiduciary Duty – the legal requirement to act in your best interests.

If your broker has:

  • Put their own interests ahead of yours
  • Hasn’t managed your account according to your needs and objectives
  • Failed to inform you about risks in your investments
  • Failed to explain their strategies

Then they may have breached their duties as a fiduciary and you may have a case against them.

Rose Law has experience fighting and winning cases for investors. We are experienced in:

Contact Us Immediately if you believe that your investment advisor has breached their fiduciary duty and you are suffering more losses in this difficult time than you expected.


We have gotten more than $3.5 million in settlements, judgments, and arbitration awards for securities victims


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