Chicago Breach of Fiduciary Duty Lawyer
Did the Stockbroker Act in Your Best Interests?
When you hire a brokerage firm or an investment advisor, the law recognizes a fiduciary relationship between that agent and you, the investor. A fiduciary duty means that the brokerage is held to a higher standard of conduct and must put your financial interests before other considerations, including the firm’s own profit motives.
Do you believe that your stockbroker or financial advisor siphoned money, failed to protect you or acted counter to your interests? If you suffered financial losses, you may have legal remedies for breach of fiduciary duty. I am John C. Barlow, an experienced securities law attorney who can help you assert your rights. Contact my Chicago law firm for a free initial consultation to find out if you have a valid securities fraud claim to pursue.
Nationwide Representation in Breach of Fiduciary Duty Claims
At my Chicago law practice, John C. Barlow, Esq., Attorney at Law, I represent investors in northeast Illinois and northwest Indiana, and throughout the U.S., including Florida, Arizona and California. I represent people who have lost money through various forms of stockbroker misconduct, including breach of fiduciary duty.
A brokerage firm owes a good faith duty to fully inform investors about the nature and risks of investment products, and must conduct securities transactions in accordance with the investor’s directives and best interests. The brokerage firm also has an obligation to monitor the client’s accounts and supervise the activities of its brokers through the imposition of a proper system of supervision.
Breach of fiduciary duty refers to deliberate acts or negligence which constitutes a breach of loyalty or a breach of prudence:
- Embezzling client funds
- Using client accounts for personal trades
- Excessive or fabricated fees
- Undisclosed conflict of interest
- Misrepresentations or omissions
- Risky investments or overconcentration
- Excessive trading to generate fees
- Other unjust enrichment at your expense
Contact Illinois Breach of Fiduciary Duty Attorney John C. Barlow
You may be bound by the terms of your contract to resolve breach of fiduciary duty claims through binding arbitration. I have extensive experience with the arbitration rules at FINRA, in private practice and in my 18 years at the regulatory agency FINRA (formerly NASD). I also counsel and represent clients in mediation and litigation of stockbroker misconduct suits.
I have helped clients recover compensation for a wide range of investment products from stocks, bonds and mutual funds to speculative investments and real estate securities.
For a free initial consultation, contact me online or call me at (312)214-3365. I take most securities claims on a contingent fee basis, charging lawyer fees only if I recover compensation for losses in your investor accounts.