Do I have to sue my broker, or can I sue just the firm?

No, in many cases, you do not have to sue your broker and you can simply sue the firm the broker works for. As long as the broker was acting within the scope of employment (like recommending stocks for you to buy), the firm will be liable for the acts of its brokers. Many times, investors would prefer not to sue their broker, for personal or other reasons. Additionally, it is often strategically preferable not to include the broker in the arbitration. We explore all of these strategic decisions with each client prior to initiating our complaint or lawsuit.

Client Reviews

Bryan Forman helped me through the turmoil of an investment advisor taking my family’s money. I was depressed and they gave me hope. They helped me recover some of the money taken from me. Bryan and his assistant Melody Bounds helped me with other concerns in my life and I am grateful. They kept me...

Nancy

Down to earth, personal, professional attention. Bryan and his assistant Melody could not have been more kind, compassionate and attentive. They explained everything that would be happening and were always available. My family is extremely grateful for the way they handled our legal issue. I would...

Vicki

I hired Bryan to help me with an issue with a financial institution. Bryan and his assistant Melody Bounds were professional and personal while resolving my situation. Bryan's experience and expertise were crucial in the positive outcome. Both he and Melody spent long hours researching and preparing...

John

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