Brokerage Firm Misconduct


Screen shot 2014-10-07 at 8.59.42 AMBrokerage firms spend millions of dollars on advertising, trying to create a message that their dependable and trustworthy. What they don’t tell you is that brokerage firms (both large and small) are regularly being sued by investors and investigated by government regulators for putting their commissions ahead of their obligations to their clients and their money.

Click below and see the ugly underside of the brokerage business. See what these brokerage firms don’t want their clients to see.

Our Current Top Focus for Brokerage Firm Misconduct Includes the Following Firms:

  1. Ameriprise Financial Services, Inc.
  2. Bank of America Investment Services
  3. Citigroup Global Markets
  4. Edward Jones
  5. JP Morgan/Chase
  6. J.P. Turner
  7. LPL Financial
  8. Merrill Lynch
  9. Morgan Stanley
  10. Raymond James Financial Services
  11. Securities America
  12. Wachovia (now a part of Wells Fargo Advisors)
  13. Wedbush Securities
  14. Wells Fargo Advisors Financial Network

We wish that this was the end of the list, but unfortunately there are more firms with past and present issues.  We track them all on our blog. Please visit our Brokerage Firm Investigations category for more details.


When we take action against stockbroker misconduct, we help level the playing field for all brokers.

If you aware of stock broker misconduct that is not being addressed, contact us:

Fogel & Associates
15260 Ventura Blvd.
Suite 2250
Sherman Oaks, CA 91403-5338
By phone: Call us toll-free at 1 (888) 986-9010
By email: Please fill out the form to the right

Contact StockBrokerLawyer now for a free, confidential review of your losses, and if they can be recovered.  The passage of time is always used as a defense, don’t delay, contact us now by calling (888) 986-9010, or emailing on the form provided.  We will respond as soon as possible, and having an independent no-cost review will help answer your questions.  We never share your personal information with third parties.


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