Suitability and Stockbroker Fraud

As a former securities industry insider, Attorney Frank Yee is highly qualified to assist investors in pursuing justice when brokers have wrongfully put investments at risk through acquisition of unsuitable investment products.   If you believe your investment professional may have negligently or intentionally sold an investment product to you that fails to meet your investment objectives and risk tolerance, contact Yee & Associates, in Franklin, Massachusetts.

For more than a decade, Attorney Frank Yee worked inside the securities industry as a registered representative and securities compliance professional. Well acquainted with the underpinnings of the securities industry, he’ll fully understand the facts and issues surrounding your case and he’ll know who to ask, what to ask and what information he needs to obtain from your broker and third parties to prove your case.

Buying and selling stocks according to the needs of investors who place their trust in brokers is not simply a matter of good sense. It is a requirement that brokers are expected to know, respect, and comply with. Transactions that result in the purchase or sale of unsuitable investment products may constitute regulatory compliance violations.

Before executing a transaction on behalf of an investor, brokers are required to gather a wide array of information. To name a few, they must obtain the investor’s risk tolerance, timeframe for investing, investment goals, and investment experience. Investors rightly expect brokers to respect their preference for a conservative versus an aggressive approach.

In the event of a dispute involving investment product suitability, a detailed investigation often reveals the broker wrongfully attained their sales quotas or commission goals at the expense of the investor’s expressed preferences and ultimate fiscal viability.

In most cases, securities disputes focused on suitability of investment products are resolved through arbitration. To discuss the procedures that typically lead to resolution of a dispute involving online investments and trading, bond issues, or other aspects of securities fraud law, contact a lawyer at Yee & Associates.

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