Broker Misconduct


We seek compensation on behalf of individual investors who lost their savings because of their brokers’ misconduct or fraud. Broker misconduct or outright fraud take many forms.  Some are easy to detect, others require careful investigation and analysis.

broker misconduct

We represent investors who lost money as a result of broker misconduct or fraudulent activities such as:

Excessive trading or account “churning”

Unsuitable investment recommendations

Lack of diversification or over-concentration

Recommendations that lack reasonable basis

Unauthorized trading

Sales of fraudulent investments

Misrepresentations or false promises

Failure to disclose risks

Unvetted investment products

Sales of unapproved investments

Theft of customer funds

Sales of Ponzi scheme investments

Most investment professionals are honest and take their duties very seriously.  In fact, we are sometimes contacted by investment professionals who bring to our attention questionable transactions in their new “customer” accounts by previous advisors.  Those few financial advisors who are dishonest, however, can wreak havoc with an investor’s life savings.


We often see one or more of these products or transactions in cases that involve broker misconduct and fraud:

Oil and gas investments

Real estate investment trusts (“REITs”)

Variable annuities

Investments in real estate

Tenant-in-common (“TICs”) programs

Collateralized mortgage obligations

Collateralized debt obligations

Auction rate securities

Asset backed obligations

Private placements

Hedge funds

Algorithmic trading (“formula-based” trading)

Alternative investments

High-yield bonds


Options and margin trading


Offshore funds

Promissory notes

To be sure, these products are not necessarily fraudulent or inappropriate.  However, our experience is that fraudulent or inappropriate conduct by investment professionals often involves some of these products.


Contact Us Today | Free Consultations | 585-310-5140


We have represented thousands of victims of investment fraud, against financial institutions that failed to discharge their duties and protect the investing public. Each case is different and our past successes are not indicative of future results; we will be glad to review your case and advise you as to your options, at no charge.


If you believe you lost money because of investment fraud, it is important to take action. Contact Peiffer Wolf Carr Kane & Conway for a FREE Consultation by calling 585-310-5140 or by filling out an online Contact Form on this website. We can hear your situation and explore your legal options. There is no charge for this evaluation.

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Victim of Investment Fraud or Broker Misconduct? We Fight for You.

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