Did Your Financial Advisor Breach a Fiduciary Duty?

If a financial advisor placed personal interests ahead of yours, failed to disclose conflicts, recommended unsuitable investments, or otherwise failed to act in your best interest, the conduct may support a breach of fiduciary duty claim.

Former Broker & Investment Adviser. Now Representing Investors.

Speak Directly With Attorney Glenn Mazer

How a Financial Advisor Can Breach a Fiduciary Duty

Investment losses can result from many different forms of financial advisor or brokerage firm misconduct. Some of the most common problems include:

Use these bullets:

Recommending investments because they pay higher commissions or fees
Failing to disclose conflicts of interest
Recommending unsuitable or excessively risky investments
Concentrating too much of a client’s money in one investment or strategy
Failing to disclose important risks, costs, or restrictions
Recommending unnecessary transactions or product replacements
Failing to act in the client’s best interest when providing investment advice

When a Breach of Fiduciary Duty Should Be Investigated

A closer review may be warranted when a financial advisor had a duty to act in the client’s best interest but instead recommended investments or transactions that benefited the advisor, exposed the client to unnecessary risk, or involved conflicts that were not fully disclosed.

Who May Be Responsible for a Breach of Fiduciary Duty?

Depending on the facts, responsibility may extend beyond the individual financial advisor. A brokerage firm, investment advisory firm, supervisor, or other financial institution may also be responsible if it participated in the conduct, failed to disclose conflicts, or failed to supervise the advisor properly.

Use these bullets:

The individual financial advisor or broker
The brokerage firm responsible for supervision
An investment advisory firm involved in the advice
A branch manager or supervisor
Other firms or individuals involved in the transaction or recommendation

What Evidence Can Show a Breach of Fiduciary Duty?

Account statements, advisory agreements, investment recommendations, emails, text messages, disclosure documents, fee records, commission records, and supervisory communications can help show what the advisor recommended, what conflicts existed, what was disclosed, and whether the advisor acted in the client’s best interest.

Why Investors Choose Mazer Law Firm

Mazer Law Firm focuses on representing investors who have suffered losses because of financial advisor misconduct, unsuitable recommendations, excessive risk, misleading investment advice, and failures by brokerage firms to supervise their representatives. Attorney Glenn Mazer brings the perspective of a former broker and investment adviser to the evaluation of investment-loss claims

Former broker and investment adviser
Direct access to Attorney Glenn Mazer
Focus on investment-loss and securities cases
Review of brokerage statements, investment records, and advisor communications
Representation in FINRA arbitration and, when appropriate, court proceedings
Free case evaluation

Talk With an Attorney About a Breach of Fiduciary Duty

If you believe a financial advisor put personal interests ahead of yours, failed to disclose conflicts, or recommended investments that were not in your best interest, Mazer Law Firm can review the relationship, the recommendations, and whether the advisor or supervising firm may be responsible. Speak directly with Attorney Glenn Mazer about what happened.

No Fee Unless We Recover for You.