麻花传媒

Securities Attorneys for Breach of Fiduciary Duty

In the financial industry, investment advisors who provide securities investment advice are required to place the clients' interests before their own. The securities attorneys at 麻花传媒 represent investors for a variety of matters involving the breach of fiduciary duty in New York, Chicago, Arizona, and other states nationwide.

Claims almost always require mandatory securities arbitration before the Financial Industry Regulatory Authority (FINRA). It's important to work with securities attorneys who have experience in providing representation for breach of fiduciary duty matters in the financial industry.

At 麻花传媒, our securities attorneys also practice a variety of other areas of securities for investors including retirement planning negligence, unauthorized trading, securities fraud, and much more. If you're an investor in need of a securities attorney for broker negligence, contact 麻花传媒 to schedule a personal telephone conference today.

 

TESTIMONIALS

Previous
Next

I cannot thank you enough for your efforts. You have proven to be a valuable resource

Jim T.

LATEST NEWS AND ARTICLES

July 1, 2025
State Regulators Fine Five Major Broker-Dealers Nearly $10 Million for Excessive Commission Charges

A coalition of state securities regulators has ordered five broker-dealers — including Edward Jones, LPL Financial, RBC, Stifel, and TD Ameritrade — to pay almost $9.9 million in penalties for overcharging customers on small-value trades.

June 30, 2025
SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary Breaches

The Securities and Exchange Commission (“SEC”) has charged David A. Nagler and his firm, New Line Capital LLC, with defrauding clients through deceptive fee disclosures and undisclosed conflicts of interest.

 

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.