Stockbroker Misconduct Warning Signs
There are certain activities in an investor's account which are not advisable for most individuals and should be considered a warning sign that require closer attention to your investment account.
- An unusual amount of trade confirmations sent to your home.
- Dramatic change in your portfolio composition.
- Pressure to act immediately to a recommendation.
- Concentration of your investments into a single product.
- Large purchases of securities on margin.
- A transaction history of selling winners and holding losers.
- Switching between different mutual fund families.
- Switching between different variable annuity contracts.
- Large amounts of life insurance as a “retirement” plan.
- Denied access to branch manager.
- Account underperformance relative to the stock market.
- Guarantee of investment return and protection against losses.
To speak with us regarding any possible stockbroker misconduct warning signs please call us toll free at 800-578-0137.
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Tramont Guerra Nunez, PA., can represent clients for securities arbitration claims in Florida cities and counties such as Miami, West Palm Beach and Ft. Lauderdale; Fort Lauderdale, Hollywood, Boca Raton, Stuart, Okeechobee, Fort Pierce, Pompano Beach, Boynton Beach, Delray Beach, Coral Gables, Jupiter, Jupiter Island, Stuart, Vero Beach, Palm Beach Gardens, Palm Beach, Fort Pierce, Indiantown, Hobe Sound, North Miami and Hialeah; Broward County, Martin County, Miami-Dade County, Orange County, Palm Beach County, St. Lucie County and Martin County; nationally in cities such as Atlanta, Chicago, Denver, Los Angeles, Dallas, Jacksonville, New York, Orlando, Philadelphia, San Francisco, San Diego, Seattle, Tampa, Washington.
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The hiring of a lawyer is an important decision that should not be based solely upon advertisements.
Before you decide, ask us to send you free written information about our qualifications and experience. This web site is designed for general information only. The information presented at this site should not be construed to be formal legal advice nor the formation of a lawyer/client relationship.
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