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Failure to Supervise Stockbrokers

When brokerage firms fail to provide proper supervision for their stockbrokers, unlawful and fraudulent activities may occur. In situations where investors bear the financial brunt of stockbroker mistakes, liability may be assigned to the brokerage firm. If you have been impacted by securities fraud, contact Levin, Papantonio, Thomas, Mitchell, Rafferty & Proctor, P.A. in Pensacola, Florida.

Liability for Failure to Supervise Stockbrokers

All Financial Industry Regulatory Authority (FINRA) member firms and firm managers are obligated to supervise their stockbrokers. They also have an obligation to review the statements relating to your securities investment and trading accounts for potential problems including:

In most situations where a broker has violated the securities laws and regulations, the brokerage and its manager may be liable for failing to supervise his or her activities. If you have been victimized by stockbroker or investment fraud, the experienced lawyers at Levin Papantonio will evaluate your claim at no cost and help you get the justice you deserve.

On behalf of their constituents, Levin Papantonio currently represents several state and municipal pension funds that manage more than $30 billion. Additionally, the firm has represented more than 1,000 investment fraud victims across the country in state and federal court and securities industry arbitration.

Contact Levin Papantonio

To discuss your legal problem, contact the firm online or via telephone at (888) 435-7001. To learn more about the law offices of Levin Papantonio, please visit the media center or view the firm's brochure or resume.