Stockbroker Misconduct

If you have suffered financial loss because of stockbroker fraud or another type of stockbroker misconduct, work with an experienced lawyer to help you recover full and fair compensation for your losses. The right attorney will understand the intricacies of securities law with experience successfully protecting the rights of other investors.

Helping Defrauded Investors Assert Their Rights for Decades

I am John C. Barlow, a Chicago stockbroker fraud lawyer with decades of experience helping investors assert their rights in northeast Illinois, northwest Indiana and across the country. Before establishing my own practice, I worked as an enforcement attorney for the Illinois Securities department and spent 18 years with the Financial Industry Regulatory Authority (FINRA), formerly known as the NASD. Contact my Chicago law firm today for a free initial consultation. I will review the facts of your case to help you understand if you have a valid claim.

Handling All Types of Stockbroker Fraud Claims

I protect the rights of investors who have suffered financial loss because of any type of stockbroker or brokerage firm fraud or misconduct, including:

  • Unauthorized trading: Your investment advisor may have bought or sold investments without your permission, often to generate commissions.
  • Lack of diversification in an investment portfolio: Your stockbroker may concentrate your portfolio in investments that pay higher commissions, but involve greater risk.
  • Excessive trading designed to generate commissions: If your broker is making excessive trades without your permission, you may be able to pursue a claim against your stockbroker for churning your account to generate excessive commissions for the broker.
  • Misrepresentation of material facts: If you suffered a financial setback because your stockbroker failed to disclose all of the relevant facts, you may be able to pursue a claim against the stockbroker.
  • Breach of fiduciary duty: I can help you pursue a claim against your broker for failing to put your financial interests above other considerations, includes the firm’s profit margins.
  • Intentional fraud: If your broker conducted a Ponzi scheme or another fraudulent investment scam, I can help you take action to try recovering what you have lost.
  • Negligence in monitoring your portfolio or the market

When you hire me to help you recover for financial losses due to stockbroker fraud or misconduct, I will carefully review the facts, evidence and circumstances of your case, looking to see who you dealt with, what your objectives were, what the stockbroker told you, and what actually occurred.

I handle cases involving stockbroker or brokerage firm fraud or misconduct in all types of investment scenarios, from a traditional investment portfolio to a college education account to retirement funds. I handle claims involving all types of investments, including stocks, bonds, mutual funds, real estate limited partnerships, commodities and other speculative investments.

Contact Illinois Retirement Fund Lawyer John C. Barlow

If you believe you were put at risk from broker misconduct, contact my securities law firm for a free consultation in Chicago. I handle cases nationwide and accept most securities law claims on a contingent fee basis, charging legal fees only if you recover compensation for your losses.