Broker Misconduct

Gilman Law LLP is a leading Naples, Florida securities litigation firm.  Gilman Law LLP’s Naples, Florida Securities Office and Naples Florida stock broker fraud attorneys and lawyers represent residents in claims involving stock broker fraud and misconduct.  Our team thoroughly conducts factual investigations, legal research and expert analysis of every claim in order to recover your investment losses.

Investors are entitled to recovery for broker fraud or misconduct. Broker misconduct is a broad topic, but can be summed up by saying that any time a broker puts their own interests ahead of their clients, a potential claim for broker misconduct exists.


Common examples of broker misconduct include, but are not limited to the following:

  • Making unsuitable investment recommendations
  • Charging excessive commissions
  • Recommending fee-based account services for inactive investors
  • Failing to recommend the most cost effective mutual fund class
  • Misrepresenting the risk, fees, costs, or key features of a particular investment
  • Trading an account without client approval
  • Recommending securities that the broker personally owns
  • Recommending annuities in a retirement account
  • Recommending active trading strategies to unsophisticated investors
  • Recommending over concentrations in stocks to retirees
  • Recommending preferred stocks as alternatives to investment grade fixed income
  • Failing to disclose the credit risk of any debt investment
  • Selling private placements, structured products, or hedge funds without conducting exhaustive due diligence beyond the offering materials

If you suffered investment losses unnecessarily because of your broker’s misconduct you may have a claim for damages.

Legal Assistance for Naples securities fraud sufferers

Let Gilman Law LLP’s Naples, Florida Securities Office help you recover losses due to your broker’s misconduct. For a free consultation, please fill out our online questionnaire. Otherwise, if you would like to speak with an attorney about your case dial (239) 221-8401.

For over 40 years, we have represented investors in claims against their brokers for misconduct in counties throughout Florida, including Collier County, Lee County, Charlotte County, Hillsborough County, Miami Dade County, Broward County, Orange County, Duval County, and Palm Beach County.