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Many investors place their trust in brokers and brokerage firms because they do not have the financial expertise needed to understand the securities industry. A fiduciary duty is the highest standard of care. When this duty exists, brokers must put the client’s interest ahead of their own interest. That means the broker cannot recommend products to the client if the broker knows the products are not in the best interest of the client. A fiduciary duty exists when the relationship with the client involves a special trust, confidence, and reliance on the fiduciary to exercise his or her expertise in acting on the client’s behalf. An actionable breach of fiduciary duty occurs:
The attorneys at The Frankowski Firm hold a reputable record when it comes to protecting your investments. We’ve held numerous negligent stock brokers and brokerage firms accountable for causing investors financial harm. Lead attorney Richard Frankowski has 15 years of practical, financial, and legal experience in fighting for investors who have lost their savings. Many clients across the country have been awarded financial justice because of the firm’s ability to prove brokers engaged in fraud or misconduct.
The Securities and Exchange Commission (SEC) holds that a fiduciary duty does exist between a brokerage firm and its clients. Fiduciary duties are also defined in the rules of independent self-regulatory organizations such as FINRA, and the laws of other agencies. Well-established fiduciary duties include:
The securities fraud attorneys at The Frankowski Firm know what stockbroker activity is designed to protect the investor and what actions do not. We can ferret out when stockbrokers misrepresent material facts and when they put the investor last instead of first. Our legal team works with financial experts to prove that the breach of fiduciary duty caused the investor actual and quantifiable harm. For help now, contact our office at 888-741-7503 or complete our contact form.
The recoveries, verdicts, favorable outcomes, and testimonials described on this site are not an indication of future results. Every case is different, and regardless of what friends, family, or other individuals may say about what a case is worth, each case must be evaluated on its own facts and circumstances as they apply to the law. The valuation of a case depends on facts, the damages, the jurisdiction, the venue, the witnesses, the parties, and the testimony, among many other factors. No representation is made that the quality of the legal services performed is greater than the quality of the legal services performed by other lawyers.
Disclaimer: Mr. Frankowski is licensed in Alabama,Florida and Texas. He is not licensed in any other state including Nevada and California. Mr. Frankowski has represented investors from all over the country in securities cases including: Alabama, California, Colorado, Florida, Georgia, Illinois, Kentucky, Louisiana, Mississippi, Nevada, New Mexico New York, North Carolina, Tennessee, Texas.
