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Financial Brokers

Have you suffered a financial loss at the hands of a dishonest or negligent investment broker? Expert financial broker malpractice attorney George G. Romain can help.


Stockbrokers and financial planners have a professional obligation to recommend investments that, to the best of their knowledge, support their clients’ investment goals. If you believe that you have suffered a financial loss due to your financial broker’s misconduct, contact George G. Romain right away. As your southern California financial broker malpractice attorney, he can help you seek compensation for your loss and hold your dishonest or negligent broker accountable for their actions.

Examples of Financial Broker Malpractice

Financial broker malpractice can take many forms, but some of the most common include:

  • Knowingly recommending disadvantageous investments
  • Making frequent trades purely to increase their own commissions
  • Displaying incompetence in analyzing investments
  • Failing to execute client orders promptly
  • Failing to disclose conflicts of interest

Seeking Compensation in Financial Broker Malpractice Cases

In any financial broker malpractice case, you have to prove that the actions of the broker directly caused your loss. Just because you lost money on a stock transaction doesn’t necessarily mean your broker did anything wrong. However, if your broker recommended a stock or other investment just so that they could receive a commission, without regard for your best interests, you could seek compensation in a malpractice case. As your southern California financial broker malpractice attorney, George G. Romain will help you gather the evidence and documentation needed to prove that you suffered a loss due to financial broker malpractice and help you secure compensation.

Why Choose George G. Romain as your Financial Broker Malpractice Attorney

When you believe you’ve been victimized by one professional, the last thing you want to do is risk getting involved with another questionable professional. Fortunately, you don’t have to worry about this when you choose the Law Office of George G. Romain as your financial broker malpractice attorney in southern California. We hold ourselves to the highest standards of ethics and integrity, and client service and client satisfaction is always our number one priority. We will work tirelessly to build a strong case for you, and we won’t ask for a dime until we win you a settlement. Call our office today to schedule a free initial phone conversation to discuss the merits of your case.

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