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205-874-7950

When A Brokerage Firm Fail to Supervise – Our Lawyers Can Help

We Hold Investment Firms Accountable

If you suspect that your broker or brokerage house failed to supervise your account, it is important to act quickly and contact an attorney right away. The faster you act to protect your finances, the greater chance you have of recovering your losses.

What Is Failure to Supervise?

Brokerage houses have a duty to supervise the brokers, traders and other types of financial advisors that they employ. Failure to supervise is a violation of FINRA rules.

Financial advisors, stockbrokers and securities brokerage firms have a legal duty to monitor the actions and recommendations of their representatives. These entities must ensure that their representatives are complying with FINRA rules, and state and federal securities laws. If a firm fails to supervise a representatives conduct, then the firm can be held accountable for its failure to supervise. Claims can be pursued against the broker for negligence or securities fraud, and a second claim can be pursued against the brokerage firm or supervisor for failing to oversee the broker. We handle complex investor claims throughout Alabama and the nation.

Supervisor have a duty to make sure their representatives are in compliance with regulatory rules and internal sales practice rules. Let our over 135 years of combined experience work for you.

Contact Experienced Investment & Stockbroker Fraud Lawyers

Gordon, Dana & Gilmore, LLC is the preferred law firm for the handling and referral of sensitive business, personal and litigation matters that require “troubleshooting expertise” as well as a professional approach at a higher level.

Practice Areas

  • Business & Corporate Law
    • Commercial Lending
    • Incorporations, Mergers, Acquisitions
    • Marketing, Franchising, Licensing, Distribution Agreements
    • Non-Compete / Non-Solicitation / Confidentiality / Non-Disclosure Agreements
    • Operation Documents – Stock Plans & Stock Restriction Agreements
    • Organizational & Contract Documents
  • Business Litigation
    • Bank / Creditor / Lender Disputes
    • Breach of Contract
    • Business Disputes
    • Business Disputes In Divorce
    • Franchise Litigation
    • Partnership & Shareholder Disputes
    • Physician Partnership Agreements & Practice Group Disputes
  • High Asset / Profile Divorce
    • Business Disputes In Divorce
    • Divorce & Tax Implications
    • Property & Asset Division
  • Investment / Stockbroker Fraud
    • Breach of Fiduciary Duty
    • Churning / Excessive Trading / Unauthorized Trading
    • Credit Default Swaps
    • Failure To Diversify / Overconcentration
    • Failure To Supervise
    • Inappropriate Risk / Unsuitable Investment
    • Misrepresentation & Omissions
    • Ponzi Scheme / Pyramid Scheme / Investment Scams
    • Types of Investment Claims We Handle
  • Mediation
  • Professional Licensing
  • Real Estate
  • Tax Law

Contact Us

Contact Info

Monday - Friday

8:00 am - 5:00 pm, CST

600 University Park Place Suite 100 Birmingham, Alabama 35209

Telephone: 205-874-7950

Facsimile: 205-874-7960

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©2002- 2023 Gordon, Dana, & Gilmore, LLC

Disclaimer: This website is for informational purposes only and does not establish an attorney-client relationship. For more information, contact one of our attorneys. The following language is required by Rule 7.2 of the Alabama Rules of Professional Conduct: "No representation is made that the quality of the legal services to be performed is greater than the quality of the legal services performed by other lawyers."

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  • Home
  • Firm Overview
  • Attorneys
  • Practice Areas
    • Business & Corporate Law
      • Commercial Lending
      • Incorporations, Mergers, Acquisitions
      • Marketing, Franchising, Licensing, Distribution Agreements
      • Non-Compete / Non-Solicitation / Confidentiality / Non-Disclosure Agreements
      • Organizational & Contract Documents
      • Operation Documents – Stock Plans & Stock Restriction Agreements
      • Back
    • Business Litigation
      • Bank / Creditor / Lender Disputes
      • Breach of Contract
      • Business Disputes
      • Business Disputes In Divorce
      • Franchise Litigation
      • Partnership & Shareholder Disputes
      • Physician Partnership Agreements & Practice Group Disputes
      • Back
    • High Asset / Profile Divorce
      • Business Disputes In Divorce
      • Divorce & Tax Implications
      • Property & Asset Division
      • Back
    • Investment / Stockbroker Fraud & Negligence
      • Breach of Fiduciary Duty
      • Churning / Excessive Trading / Unauthorized Trading
      • Credit Default Swaps
      • Failure To Diversify / Overconcentration
      • Failure To Supervise
      • Inappropriate Risk / Unsuitable Investment
      • Misrepresentation & Omissions
      • Types of Investment Claims We Handle
      • Back
    • Mediation
    • Professional Licensing
    • Real Estate
    • Tax Law
    • Back
  • Blog
  • Contact Us