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Halling & Cayo, S.C.

Wisconsin Stockbroker Misconduct Lawyers

Stockbrokers have a duty to make financial recommendations that are in their customers’ best interests. Legally, they are required to recommend only those investments that are suitable for their clients’ risk tolerance. Unfortunately, some of them fail to meet this minimum standard of responsibility in the interest of their own financial gain.

We are considered one of the preeminent stock fraud and broker misconduct firms in Wisconsin. Our lawyers have been recognized in the “Super Lawyer” survey of Wisconsin lawyers and in the “Best Lawyers in Milwaukee” edition of Milwaukee Magazine.

Anyone, at any income level, can be the victim of investment advisor misconduct. We offer flexible fee arrangements and are known for our flexibility in representing victims of investment loss on a contingency fee basis or for an hourly rate.

Have you been a victim of the following practices?

  • Churning (excessive trading)
  • Over-concentrating funds in a particular stock or class of securities or equities
  • Improper execution (failing to follow instructions)
  • Placing client funds into unsuitable products or into bad products including class B mutual funds.
  • Improper sales practices (pump-dump schemes, high-pressure tactics)
  • Fraud or misrepresentation: theft, forgery, embezzlement, and insider trading.
  • Selling away, where the broker sells investments to you without his firm’s knowledge

However, we also have represented unsophisticated investors who lost money they had saved for retirement or had acquired through inheritance, divorce, or a personal injury settlement. Anyone can be the target of investment advisor misconduct, and if you have been, we want to help.

If you think you’ve lost money because of the fraud, negligence, or other misconduct of a stockbroker, investment advisor, or financial representative, please contact Halling & Cayo today.