Stockbroker Fraud and Misconduct

Experienced Securities Litigation Attorneys Serving Clients Nationwide

Stone Bonner & Rocco LLP ("SBR") provides experienced, sophisticated representation for institutional and individual investors who have suffered significant losses due to the misrepresentations, omissions and other fraudulent misconduct of stockbrokers and brokerage firms. We provide our clients with consistently superior work product and creative strategies designed to achieve effective, economical solutions for misconduct resulting in investment losses.

Our lawyers have served as the lead counsel in fraud actions resulting in the recovery of hundreds of millions of dollars for investors. We bring our experiences in those matters to bear in all of our stockbroker fraud cases, large and small. The firm's experience in matters related to stockbroker and brokerage fraud and misconduct includes representing clients in litigations and arbitrations involving:

  • Breaches of fiduciary duty
  • Misrepresentations/omissions of material facts and risk factors
  • Failure to follow FINRA's suitability standards
  • Auction rate securities fraud
  • Unauthorized trading
  • Stock market manipulation
  • Other fraudulent activities

SBR is committed to achieving its clients' objectives quickly and economically. To assist us in achieving that objective, we frequently enlist leading financial and industry experts to assist us with litigating our clients' claims. We also offer flexible fee arrangements designed to align our clients' financial interests with those of our firm.

Following our successful representation in a securities fraud suit brought against a corporate defendant and a brokerage firm, Judge Denise Cote of the Southern District of New York stated, "I felt at every step of the case that [SBR was] extraordinarily competent, diligent, responsible, helpful to this court and appropriate in your conduct of this case, and I think the class was well served by your representation of them, very well served."[1]

Because of our focus on producing first-class work, we have developed a reputation as a leading advocate on behalf of investors and consumers nationwide. Contact our firm online or by calling 212-239-4340 to schedule a no-cost, in-depth consultation.

[1] Transcript of hearing in Varljen v. H.J. Meyers & Co., Inc., No. 97 Civ. 6742 (DLC) (October 27, 2000) at 30.