Breach of Fiduciary Duty
United States Breach of Fiduciary Duty Attorney
Here’s the scenario: as an investor, you find out that your portfolio is being mismanaged or neglected by your broker, who promised you that he would monitor the account’s value and keep you apprised of any material developments in the stock or the industry it’s in. Who’s responsible? Has your broker engaged in breach of fiduciary duty?
At Kaufmann Gildin & Robbins LLP , it’s our job to find out. Our firm has extensive experience dealing with customer complaints against brokers, including those involving breach of fiduciary duty. Most firms assert that all duties end at point-of-sale, while the actual relationship between the customer and his broker may prompt continuing obligations.
So, who is ultimately responsible for managing your portfolio? A better question to ask is: Who’s making the ultimate investment decision? If it was the customers, then the customers have ultimate responsibility for what happened with their money. However, if it’s their broker or brokerage firm making the ongoing decisions, the law imposes a greater obligation on them to properly manage your money and make decisions consistent with your financial goals, objectives and situation.
If you are an investor who believes a broker or brokerage firm has demonstrated a breach of contract or breach of fiduciary duty, contact us today for practical advice and experienced representation from attorneys with thorough knowledge of securities law and handling securities disputes.
Mr. David E. Robbins is a nationally-known authority on securities arbitration and mediation. He literally wrote the book on how securities law arbitration cases are handled in the United States and his knowledge in this area is second to none.
In addition to representing investors, our firm has extensive experience defending brokers against customer complaints, including claims of breach of fiduciary duty. If you’re a broker or firm facing allegations of breach of fiduciary duty, contact us immediately.
Our experienced securities lawyers can help defend your name and protect you in disciplinary actions. That fact is, we know both sides of securities disputes better than many firms know one side. Our breach of fiduciary duty attorneys stand ready to put that knowledge to work for you.
Whether you are an investor, a broker or a brokerage firm, contact our accomplished New York breach of fiduciary duty attorneys today for experienced legal advice and adept representation from skilled professionals recognized from coast-to-coast as preeminent authorities on securities law, investment wrongdoing and securities arbitration.
The New York lawyers at Kaufmann Gildin & Robbins LLP provide astute advice and counsel and dedicated, effective representation to investors and brokers throughout New York,, the United State, and internationally.