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Offering Recovery Solutions for Victims Of Stockbroker Negligence

Unlike money in a bank account, investment funds are typically not guaranteed. To mitigate your risk and increase the return on your investment, a stockbroker and investment advisor can monitor your accounts, move funds and make recommendations.

The U.S. put in place securities laws to protect investors from substantial losses and minimal gains caused by broker negligence. If your broker failed in their duties and you suffered a financial loss, attorney Jeffrey Lendrum can help. For more than 30 years, Law Firm, has helped victims of stockbroker malpractice seek justice and compensation for their losses.

Violating The Industry Standard Of Care

Regulatory organizations, securities laws and code of conduct rules set the industry standard of care. When a stockbroker or investment advisor mismanages your accounts, breaches their fiduciary duty or violates the standard of care, they can be held accountable.

Stockbrokers and investment advisors are not immune to mistakes, but unfortunately, their mistakes often involve hundreds of thousands of dollars or more and can cause severe financial damage for the victim. Victims of securities fraud and stockbroker malpractice do not need to prove intentional harm, only that a financial professional’s actions or errors caused a financial loss.

Stockbroker negligence and investment advisor negligence can take many forms. Typically, it involves a form of failure or negligence on by the professional that results in damages to the client. Potential acts of fraud or negligence can include:

  • Failure to execute a client order
  • Executing an incorrect order
  • Failing to transfer funds as directed
  • Failure to conduct due diligence
  • Failing to investigate and understand the client’s investment goals and objectives
  • Making unsuitable, biased, or inappropriate investment recommendations
  • Failing to monitor investments
  • Misconduct, including theft, misappropriation or deceptive sales practices
  • Scams or Ponzi schemes

During his thirty-plus years as a securities lawyer, Mr. Lendrum has recovered over $100 on behalf of his clients.

Let Us Help You Pursue A Recovery

We represent victims of financial services negligence, investment fraud, securities fraud, investment advisor malpractice, breach of fiduciary duty, and stockbroker malpractice throughout California. To discuss an incident of stockbroker negligence or investment fraud with an financial services attorney, arrange a no-cost consultation at one of our office locations. Email the firm or call 619-573-6903 to schedule your appointment.