Experienced Breach of Contract Attorneys Protecting Investors

Guiding clients through the legal process after a breach of contract

Signing a contract to officially begin a financial relationship with a brokerage or investment firm is more than mere formality. It endows the client with certain rights and the broker with certain responsibilities. When these rights are violated and the contract breached, the broker, advisor or investment firm is legally liable for any ensuing financial damages that a client may experience.

The legal team at The Frankowski Firm has worked on cases involving investors’ rights across the country. When investors sustain losses due to wrongful conduct by the broker or firm, our team has the experience and resources to pursue damages on their behalf.

What are the different types of breach of contract?

When an investor signs the New Customer Agreement or the New Account Agreement, both parties agree to the regulations of the Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The ways in which these contracts can be transgressed vary, but there are four basic categories of violations:

  • Partial breach. In this type of misconduct, the investor can only ask for financial redress of damages that have occurred. If no value can be assigned to the damage, then it is not considered a breach of contract.
  • Material breach. This is the next level of severity of breach of contract, and entails both monetary damages and undue hardships on the victim. It may overlap with an unsuitability claim if the broker suggested investments that had a greater level of risk than the client was comfortable with and lost money as a result.
  • Fundamental breach. A fundamental breach involves the disregard for the signed contract. Outcomes can include payment for damages, as well as breaking the contract entirely, releasing the client from further interactions with the broker or firm.
  • Anticipatory breach. This final category is intended to cover an expected and overt breach of contract. Thus, there need not be an actual loss or damage for breach of contract to have occurred.

If you believe that you are the victim of a breach of contract, turn to the Frankowski Firm today. We can help you understand what your rights are, and to chart a course moving forward that works for you.

How do breach of contract and other investment concerns overlap?

In addition to the co-occurrence of breach of contract and unsuitability claims, there are often other concurrent types of investment and broker fraud. These include, but are not limited to:

  • Negligence
  • Misrepresentations and Omissions / Fraud
  • Conflicts of interest
  • Unauthorized trading


Because of the myriad of combinations and permutations of misconduct that can be perpetrated by an unscrupulous broker or investment firm, it is vital to have an experienced and trustworthy legal team aiding you in seeking recourse.

When investors are harmed by predatory brokers, contact an honest attorney

Many investors do not notice the early warning signs that their rights are being violated, or that the contracts they have signed with their brokerages firms are being breached. Typically, everything comes out in a tumble of unwanted and upsetting information, all of which investors need assistance to sort through to determine their legal options. If you have suspicions or proof of breach of contract with your investment firm or brokerage, call The Frankowski Firm at 888-741-7503 or complete our contact form to discuss your legal options.