JOHN LAWRENCE ALLEN, ESQ

For Securities Fraud & Broker Fraud Call:

1.800.345.1888

Overconcentration

  • John Lawrence Allen
Broker Fraud & Overconcentraion Overconcentration

Diversification is a key component to a balanced, profitable investment portfolio. The market is constantly in flux. If a broker invests all or a large portion of your financial security in one product or sector, the potential for you to lose vast sums of money increases dramatically.

Brokers and financial advisors owe a duty to their clients to ensure client investments are spread across asset classes, industry sectors and securities in accordance with the individual circumstances and...

  • John Lawrence Allen
Broker Fraud & Portfolio Asset Classes What if my portfolio is centered in one asset class?

Answer: When a customer seeks a well-balanced investment portfolio, brokers and investment advisors have the duty to ensure that their clients’ investments are split among industry sectors, asset classes and securities, which is known as diversification. When a broker fails to do so and places a large portion of the portfolio into one type of investment, asset class or security, it is known as overconcentration.

If...

  • John Lawrence Allen
SBroker Fraud Attorney Should investors pursue their legal claims?

Answer: Each investor must make an individual decision as to the best course to take if he or she has been the victim of fraud or other violations of securities laws. If investors do not make complaints about or claims against stockbrokers and financial institutions that violate their obligations, the system will not adequately protect the rights of all investors. The Law Offices of John Lawrence Allen is fully prepared to assist...