Broker Firm Negligence

Broker Misrepresentation Attorneys

Brokerage firms have an obligation to be staffed with qualified financial professionals. Brokerage firms are also responsible for establishing sufficient compliance departments to monitor the conduct of the brokers to insure that they are acting within the rules of the FINRA (formerly NASD) and NYSE. If the fraud or negligence of a stockbroker results in a significant economic loss for an investor, the broker-dealer firm may be held liable for the actions of their broker.

Dickenson, Murphy, Rex & Sloan, P.A. is a Boca Raton, Florida law firm with a practice group dedicated to handling cases of securities fraud. With nearly 20 years of investor representation experience, we have the knowledge and skills necessary to protect investors’ rights. We practice before FINRA (formerly the National Association of Securities Dealers, NASD), the New York Stock Exchange (NYSE) and the American Arbitration Association (AAA).

Our securities practice group represents investors who have been harmed by stockbroker and broker-dealer fraud and misconduct. We represent investors with the following claims:


  • Misrepresentation
  • Churning
  • Unsuitable investments
  • Unauthorized transactions
  • Execution failures
  • Excessive mark-ups
  • Disappearing funds
  • Botched transfers
  • Web-broker outages
  • Selling away from firms
  • Sales by unregistered brokers
  • Sales of unregistered securities
  • Improper margin liquidations
  • Broker bribes
  • Fraudulent research
  • Boiler room sales practices
  • Falsified account statements

Our qualified legal team has brought actions alleging broker misrepresentation, misconduct, negligence or fraud against most of the broker-dealers with whom you are familiar, including:

  • Acument Securities
  • Advest, Inc.
  • A.G. Edwards, & Sons
  • Alex Brown & Sons
  • Asset Management Securities Corp.
  • Barber & Bronson
  • Barry Financial Group
  • Bear Stearns
  • Biltmore Securities, Inc.
  • Clearing Services of America
  • CIBC Oppenheimer
  • Donaldson Lufkin & Jenrette
  • Dreyfuss Service Corp.
  • Edward Jones & Co. LP
  • First Union Securities
  • First United Equities
  • FSC Securities Corporation
  • Great Western Financial Securities
  • Gruntal & Co., LLC
  • GunnAllen Financial, Inc.
  • Halpert & Co.
  • Investacorp, Inc.
  • Investment Centers of America
  • Janney Montgomery Scott
  • Janssen Meyers
  • J.B. Hanauer
  • J.W. Charles
  • Joseph Charles
  • Legg Mason
  • Lehman Brothers
  • L.H. Ross & Company, Inc.
  • Linsco Private Ledger
  • Merrill Lynch Pierce Fenner & Smith
  • Mesirow Financial Services, Inc.
  • Moors & Cabot
  • Montauk Financial
  • Morgan Stanley Dean Witter
  • Muriel Siebert & Co., Inc.
  • Nelson Ivest Brokerage Services, Inc.
  • New England Securities
  • Noble Investments
  • Northern Trust Securities
  • Olde Discount Corporation
  • Prime Charter
  • Prudential Securities
  • Raymond James & Associates, Inc.
  • Roan-Meyers Associates LP
  • Royal Alliance
  • Royce Investment Group, Inc.
  • Ryan Beck & Co.
  • Salomon Smith Barney
  • Schneider Securities
  • Sigma Financial
  • Shochet Securities
  • Somerset Financial Group, Inc.
  • Southtrust Securities, Inc.
  • Tasin & Co.
  • Telaro Securities
  • UBS PaineWebber
  • Wachovia Securities
  • Waddell & Reed
  • Whale Securities
  • West America Securities Corp.

Have you lost money due to the mishandling of your brokerage account? If you have been wronged by your broker, we can help. Contact Dickenson, Murphy, Rex & Sloan, P.A. in Boca Raton, Florida for a free initial consultation to discuss your case. Our firm handles securities cases nationally and internationally.  In addition to handling cases in over 30 states, we have also handled cases against U.S. broker-dealers offices located in  Venezuela, Chile, Colombia, the United Kingdom and the Channel Islands.  Please call 561.391.1900 to learn more.

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We serve clients on a national level. Locally, our Securities Practice Group caters to clients throughout Palm Beach and Broward counties, including Boca Raton, Boynton, Cape Coral, Delray Beach, Fort Lauderdale, Gainesville, Hialeah, Jacksonville, Jupiter, Lakeland, Miami, Orlando, Pembroke Pines, Pompano Beach, Port St. Lucie, St. Petersburg, Sunrise, Tallahassee, Tampa, Wellington and Weston.