Financial advisors have many duties they, by law, must provide to their clients. They are legally obligated to:
♦ Make Suitable Investment Recommendations
♦ Adequately inform you of the risks
♦ Disclose conflicts of interest
♦ Not make misrepresentations and omissions
♦ Receive proper authorization for transactions
If they don’t, there are numerous claims that can be brought under securities arbitration. Some common claims include:
♦ Fraud
♦ Misrepresentations and Omissions
♦ Negligence including Unsuitability
♦ Unauthorized Trading
♦ Order Failure
♦ Churning
♦ Failure to Supervise
♦ Breach of Contract
♦ Breach of Fiduciary Duty
If you have a legal claim related to financial misconduct, it is important that you act immediately. Contact J. A. Schultz for a free consultation.
J. A. Schultz Law 