Top Ten Signs You May Have a Claim Against Your Broker for Loss Recovery

Nov 3, 2023

Top Ten Signs You May Have a Claim Against Your Broker for Loss Recovery

  1. Broker makes trades without your prior knowledge or consent;

  1. Your account is over-concentrated in only one or a few stocks;

  1. Multiple trades in your account;

  1. Your broker recommends selling one stock to buy another;

  1. You have a high margin balance;

  1. Your account has losses and your broker tells you that you haven’t lost until you sell;

  1. When you complain, the broker says you wanted the transactions;

  1. You have non-traded products in your account, like REITs and Annuities;

  1. You have investments that bet on the market falling (inverse leveraged ETFs); and/or

  1. Your broker recommends the trading of options.

If you are concerned with losses and/or any of these top ten signs or your broker is constantly recommending trades and soliciting you for alternative investments like non-traded REITs and limited partnerships, you should consult Securities Fraud Attorney Mark A. Tepper.

Mr. Tepper is also a former Assistant Attorney General and Chief Trial Counsel at the Bureau of Investor Protection and Securities for the New York Attorney General. He can evaluate, prepare, and file your Claim for recovery in a FINRA arbitration.

FINRA arbitrators have upheld claims filed by Attorney Mark A. Tepper against many brokerage firms and the Florida securities fraud attorney has represented hundreds of clients, even taking on giants that include Bank of America, Charles Schwab, Merrill Lynch, Morgan Stanley, Raymond James, Smith Barney, UBS, Wells Fargo and others.

If you have questions about activity in your account and are not satisfied with your broker or his explanation, contact us for a no-cost review of your concerns. To initiate the process, you can contact Attorney Mark A. Tepper by sending an email to askmark@marktepper.com or calling 954-704-2310.

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