At Heritage Law Office, we offer securities law services to people who have been the victims of broker-dealers failing to supervise their financial advisors. We believe that everyone deserves to have access to quality legal representation, and we are committed to fighting for the rights of our clients.
What is a Broker-Dealer?
A broker-dealer is a firm that buys and sells securities on behalf of its customers and itself. In order to be registered with the SEC, they must adhere to certain rules and regulations.
What is Failure to Supervise by a Broker-Dealer?
Many people are not aware of the fact that broker-dealers have a legal responsibility to properly supervise their financial advisors. When they fail to do so, they can be held liable for any losses that their clients incur as a result. If you have suffered losses because of your broker-dealer's failure to supervise its financial advisor, you may be entitled to compensation.
Contact a Securities Attorney in Wisconsin Today
At Heritage Law Office, we have extensive experience litigating securities cases against broker-dealers. We know what it takes to build a strong case and get results for our clients. We will work tirelessly on your behalf to make sure that you get the compensation you deserve.
If you have been the victim of a broker-dealer's failure to supervise its financial advisor, contact us today by sending us a message or giving us a call at 414-253-8500 for a free consultation. We would be happy to review your case and advise you of your legal options.