Stockbroker Fraud & Misconduct

SBR represents investors in a wide range of disputes with brokers, banks and other financial firms that engaged in misrepresentations or other misconduct that has caused our clients to suffer out-sized losses. Our deep experience and worldwide network allows our investigations to uncover and develop critical factual background to make the cases we take successful. By avoiding volume, we are able to focus on every case we take, leading to a remarkable success rate.

SBR provides experienced, sophisticated representation for institutional and individual investors who have suffered significant losses due to the misrepresentations, omissions and other misconduct of stockbrokers, financial advisors and brokerage firms. Our stockbroker cases frequently involve allegations that defendants breached fiduciary obligations or caused investors to purchase unsuitable securities. We provide our clients with consistently superior work product and creative strategies designed to achieve economical remedies for misconduct resulting in investment losses.

The firm’s partners have served as the principal counsel in fraud actions that have produced hundreds of millions of dollars in recoveries for investors. We bring our experience in those matters to bear in all of our brokerage fraud cases, large and small. As a result, the firm has succeeded in securing multiple multi-million dollar recoveries for our clients in securities arbitrations against some of the world’s largest financial institutions.

New York Office


1700 Broadway
41st Floor
New York, New York 10019

Phone (212) 239-4340
Fax (212) 239-4310

New Jersey Office


447 Springfield Avenue
2nd Floor
Summit, NJ 07901

Phone (908) 516-2045
Fax (908) 516-2049

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