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Broker Firm Negligence

Broker Misrepresentation Attorneys

Brokerage firms have an obligation to be staffed with qualified financial professionals. Brokerage firms are also responsible for establishing sufficient compliance departments to monitor the conduct of the brokers to insure that they are acting within the rules of the FINRA (formerly NASD) and NYSE. If the fraud or negligence of a stockbroker results in a significant economic loss for an investor, the broker-dealer firm may be held liable for the actions of their broker.

Dickenson, Murphy, Rex & Sloan, P.A. is a Boca Raton, Florida law firm with a practice group dedicated to handling cases of securities fraud. With nearly 20 years of investor representation experience, we have the knowledge and skills necessary to protect investors' rights. We practice before FINRA (formerly the National Association of Securities Dealers, NASD), the New York Stock Exchange (NYSE) and the American Arbitration Association (AAA).

Robert H. Rex, Esq. represents investors who have been harmed by stockbroker and broker-dealer fraud and misconduct. Typical claims include:

  • Misrepresentation
  • Churning
  • Unsuitable investments
  • Unauthorized transactions
  • Execution failures
  • Excessive mark-ups
  • Disappearing funds
  • Botched transfers
  • Web-broker outages
  • Selling away from firms
  • Sales by unregistered brokers
  • Sales of unregistered securities
  • Improper margin liquidations
  • Broker bribes
  • Fraudulent research
  • Boiler room sales practices
  • Falsified account statements

Our qualified legal team has brought actions alleging broker misrepresentation, misconduct, negligence or fraud against most of the broker-dealers with whom you are familiar, including:

  • Acument Securities
  • Advest, Inc.
  • A.G. Edwards, & Sons
  • Alex Brown & Sons
  • Asset Management Securities Corp.
  • Barber & Bronson
  • Barry Financial Group
  • Bear Stearns
  • Biltmore Securities, Inc.
  • Clearing Services of America
  • CIBC Oppenheimer
  • Continental Broker Dealer
  • DBC Rain Daucher
  • Donaldson Lufkin & Jenrette
  • Dreyfuss Service Corp.
  • Edward Jones & Co. LP
  • First Union Securities
  • First United Equities
  • FSC Securities Corporation
  • FMS Bonds
  • Garden State Securities
  • Great Western Financial Securities
  • Gruntal & Co., LLC
  • GunnAllen Financial, Inc.
  • Halpert & Co.
  • Investacorp, Inc.
  • Investec Bank PLC
  • Investment Centers of America
  • Janney Montgomery Scott
  • Janssen Meyers
  • J.B. Hanauer
  • J.W. Charles
  • Joseph Charles
  • Legg Mason
  • Lehman Brothers
  • L.H. Ross & Company, Inc.
  • Liberty National Financial
  • Lincoln Financial Advisors
  • Linsco Private Ledger
  • Melhado Flynn
  • Merrill Lynch Pierce Fenner & Smith
  • Mesirow Financial Services, Inc.
  • Moors & Cabot
  • Montauk Financial
  • Morgan Keegan
  • Morgan Stanley Dean Witter
  • Muriel Siebert & Co., Inc.
  • Nelson Ivest Brokerage Services, Inc.
  • New England Securities
  • Newbridge Securities Corporation
  • Noble Investments
  • Northern Trust Securities
  • Olde Discount Corporation
  • Penson Financial Services
  • Prime Charter
  • Prudential Securities
  • Raymond James & Associates, Inc.
  • Roan-Meyers Associates LP
  • Royal Alliance
  • Royce Investment Group, Inc.
  • Ryan Beck & Co.
  • Salomon Smith Barney
  • Samco Financial
  • Schneider Securities
  • Sigma Financial
  • Shochet Securities
  • Somerset Financial Group, Inc.
  • Southtrust Securities, Inc.
  • Tasin & Co.
  • Telaro Securities
  • UBS PaineWebber
  • Wachovia Securities
  • Waddell & Reed
  • West America Securities Corp.
  • Whale Securities

Have you lost money due to the mishandling of your brokerage account? If you have been wronged by your broker, we can help. Our firm handles securities cases nationally and internationally. In addition to handling cases in over 30 states, we have also handled cases against U.S. broker-dealers offices located in Venezuela, Chile, Colombia, the United Kingdom and the Channel Islands. Contact us through the form below or call 561-391-1900 for a free initial consultation to discuss your case.

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DISCLAIMER: The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Information that is time-sensitive or confidential should not be sent through this form.