Practice Area
Broker Fraud & Negligence Attorneys
When brokers put their own financial interests ahead of yours — that is fraud. The Frankowski Firm fights to hold them accountable and recover what you lost. No fees until we win.
Call 888-741-7503Common Forms
How Brokers Commit Fraud
Misrepresentation
Your broker told you something false about an investment to get you to buy. One of the most common and provable forms of securities fraud.
Churning
Excessive trading designed to generate commissions rather than benefit you. Provable through turnover ratio and cost-equity ratio analysis.
Unsuitable Recommendations
Investments recommended that didn't match your financial situation, risk tolerance, or objectives. Violates FINRA's suitability rules.
Unauthorized Trading
Trades executed without your knowledge or approval. A clear FINRA violation regardless of whether the trades were profitable.
Failure to Supervise
Brokerage firms must supervise their brokers. When they fail to do so and a broker causes harm, the firm can be held liable.
Failure to Diversify
Concentrating your portfolio in a single security, sector, or asset class without proper disclosure of the risks involved.
Selling Away
When a broker sells securities outside the scope of their firm's approved products — a serious FINRA violation.
Material Omissions
Withholding important information you needed to make an informed decision. Omissions are just as illegal as false statements.
Self-Dealing
Recommending products that pay higher commissions regardless of suitability. Putting the broker's interests ahead of yours.
Take Action
Think Your Broker Committed Fraud?
Many investors don't realize they have a valid legal claim. Contact us for a free consultation — we'll tell you honestly whether you have a case.
888-741-7503