Theft and Forgery
Breach of Trust: Broker Theft and Forgery
New York City Attorney ◊ Nationwide Practice ◊ Over 35 years’ Experience
Unfortunately, it’s become more and more common for brokers to steal from their clients and to forge documents for their own material gain. While this behavior is still far from the norm, broker theft and forgery can put a stain on the entire profession.
Decisive legal action is the only appropriate response to such egregious broker misconduct.
A broker can commit theft or forgery through any of a number of means. In addition to various kinds of outright investment scams, this can involve:
- Misappropriation of funds
- Forged checks
- Ponzi schemes, selling away, affinity fraud
- Unauthorized transfers of cash or stock
If you have been a victim of broker theft or forgery, or if you are a broker facing unfounded charges of such misconduct, contact a lawyer with the experience and knowledge to provide strong representation.
Attorney David E. Robbins is regarded as a leading authority nationwide on all issues related to customer-broker disputes. With over 35 years of experience, he has written over 40 articles and is the author of the definitive textbook Securities Arbitration Procedure Manual. This book is used every day in law school classrooms, law firms and brokerage firms nationwide.
Mr. Robbins has been a Special Deputy Attorney General of New York in the Securities Fraud Bureau. He then was the director of the Compliance Department and Legal Regulatory Division of the American Stock Exchange. In addition, he has served as an arbitrator for FINRA (formerly the NYSE and the NASD) and the American Arbitration Association.