When brokers or advisors manage your investment accounts, they are bound by clear rules: recommend only suitable investments, provide full and accurate information, and put your interests ahead of their own. These duties are not optional. They are at the core of how the financial industry is meant to function.
Yet too often, those responsibilities are ignored. Brokers may push high-commission products, trade excessively to generate fees, or conceal critical risks from their clients. Misconduct like this does more than erode trust—it can wipe out years of savings and place families and institutions under severe financial strain.
KlaymanToskes focuses exclusively on helping investors recover substantial losses caused by this type of misconduct. We have recovered more than $600 million through FINRA arbitration and securities litigation nationwide. Our attorneys understand how to identify improper account activity, build strong cases with the evidence required, and pursue the maximum recovery available under the law.
Below are some of the most common account activity violations we pursue claims for. Each page explains how the violation works, the warning signs investors should watch for, and how our team can help if you have been affected:
- Unsuitable Investment Advice
- Excessive Trading or “Churning”
- Misrepresentation & Omission of Material Facts by a Broker or Advisor
- Breach of Fiduciary Duty
- Unauthorized Trading of Securities
- Mutual Fund Sales Violations
- Variable Annuity Switching
- Excessive Markups/Markdowns
- What is Selling Away? Types of Securities & How It Works
If you suspect your account has been mishandled—even if you’re unsure which violation applies—speaking with an experienced securities attorney can provide immediate clarity. Our evaluations are free, confidential, and designed to give you a clear picture of whether you have a case and what recovery options exist.
KlaymanToskes is committed to holding financial institutions accountable when they breach their obligations. With decades of combined experience and a record of results across the country, we guide investors through every step of the process to pursue the justice and compensation they deserve.
