JOHN LAWRENCE ALLEN, ESQ

For Securities Fraud & Broker Fraud Call:

1.800.345.1888

Failure

  • John Lawrence Allen
Broker Fraud & Failure to Supervise Failure to Supervise Did negligence or misconduct cause you financial loss?

Financial and securities brokerage firms have a legal duty to supervise their brokers and their brokers’ recommendations to clients to ensure compliance with and prevent violations of the rules of the security industry. When an individual broker is negligent or acts in an unlawful manner against the interests of the client and that client suffers damages as a result of such wrongdoing, the firm may...

  • John Lawrence Allen
Broker Fraud & Failure to Execute Failure to Execute

There is little incentive for a broker not to place an order.  However, millions of transactions occur each day and mistakes are made, including failures to place orders.  As well, although technology has reduced the possibility, orders do get lost. Investment clients can take action for such negligence by the broker or firm.

At times, a broker does not want to place an order that the client desires.  The client may wish to...