Types of Misconduct

There are many fancy words for the activities of unscrupulous brokers. Let’s break these down and make them more understandable.

In this section, we will look at some of the most common types of misconduct. If you feel you have been victimized by any of these unethical or illegal behaviors, please contact us for a free consultation.


  • Misrepresentation
  • Improper Margin Use
  • Unsuitable Investing
  • Unauthorized Trading
  • Excessive Trading
  • Securities Fraud
  • Ponzi Scheme
  • Negligence
  • Breach of Contract
  • Breach of Fiduciary Duty