Want to contact a Breach of Fiduciary Duty lawyer in Washington, DC? ...Get a free case evaluation from one of our Breach of Fiduciary Duty lawyers in Washington, DC now.

Home : Securities : Breach of Fiduciary Duty

Breach of Fiduciary Duty

"Fiduciary duties" are held by people legally responsible for handling the money of others; for example, brokers authorized to make investments for clients without first notifying them.  A fiduciary is generally held to a high standard of ethics in order to ensure clients' money is not mismanaged.  Breach of duty is not determined by the performance of investments.  Instead, actions of the fiduciary are scrutinized to ensure responsible investing practices were followed.  When determining if a broker bears legal responsibility for a client's loss, it must be determined if prudent advice was given, if the broker, in fact, was a fiduciary, and if actions taken were in the best interest of the client.

Fast Facts

Issue name: Breach of fiduciary duty
Applicable law/agency: Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD)
Related topics: Securities, misrepresentation/omissions, overconcentration/failure to diversify, securities unsuitability, selling away, failure to hedge, churning
Want to contact a Breach of Fiduciary Duty lawyer in Washington, DC? ...Get a free case evaluation from one of our Breach of Fiduciary Duty lawyers in Washington, DC now.

Stockbroker/Dealer or Registered Investment Advisor?

The Wall Street Journal’s recent article about the obligations of stockbrokers to their clients highlighted the differences in the definition of a stockbroker or dealer and a financial... read more

Fiduciary Duty Means Following Prudent Investment Practices

The term "fiduciary" is inclusive of people who have the legal responsibility for managing someone else's money; this includes investment committees of retirement plans, trustees of private... read more

View the Breach of Fiduciary Duty Main Articles page here

Jury Verdicts Related to Breach of Fiduciary Duty

______ $45,000. Both defendants contributed to the settlement. - Insurance Insurance Agent - Fiduciary Duty - Contract - Workers' Compensation - Settlement

______ $18,000 Breakdown: $13,500 interest 4,500 attorney fees - Collection Life Insurance Policy - Interest - Breach Of Fiduciary Duty - Trusts & Estates

View the Breach of Fiduciary Duty Jury Verdicts page here

Videos Related to Breach of Fiduciary Duty

Information about Breach of Fiduciary Duty

Help for Those Who Have Lost Money Because of a Bad Broker

View the Breach of Fiduciary Duty Videos page here

MSN Newsfeeds Related to Breach of Fiduciary Duty

Ex-Norwich Councilman Is Accused Of Stealing Funds

Removal vote nearing for Episcopal bishop

View the Breach of Fiduciary Duty MSN Newsfeeds page here

News Articles Related to Breach of Fiduciary Duty

Law.com - Court Rejects Suit by Woman Who Said She Had Sex With Rabbi to Find Husband

Keller Rohrback starts ERISA investigation against UBS - Insurance Business Review

View the Breach of Fiduciary Duty News Articles page here

Useful Web Sites Related to Breach of Fiduciary Duty

Burg Simpson, Securities Attorneys

Anapol Schwartz, Securities Fraud Attorneys

View the Breach of Fiduciary Duty Useful Web Sites page here

Wikipedia Entries Related to Breach of Fiduciary Duty

Fiduciary

Breach of duty in English law

View the Breach of Fiduciary Duty Wikipedia Entries page here

Books Related to Breach of Fiduciary Duty

In action based on breach of fiduciary duty and fraud, Sixth Circuit upholds Tennessee District Court's exercise of personal jurisdiction over Belgian ... : An article from: International Law Update

May a Member of an LLC or a Limited Partner Bring a Breach of Fiduciary Duty Claim Against Those Controlling the LLC or Partnership as a Diversity Action? : An article from: The Review of Litigation

View the Breach of Fiduciary Duty Books page here

Want to contact a Breach of Fiduciary Duty lawyer in Washington, DC? ...Get a free case evaluation from one of our Breach of Fiduciary Duty lawyers in Washington, DC now.

AddThis Social Bookmark Button

Need A Breach of Fiduciary Duty Attorney?

First Name Last Name Email Address State
Was There a Financial Loss?

Please Describe the Injury
Click to Ask a Question

Your Friend's Email Address

Your Email Address

Type a Message (optional)


Need A Breach of Fiduciary Duty Lawyer?

First Name Last Name Email Address State
Was There a Financial Loss?

Please Describe the Injury
Click to Ask a Question

 

Close (x)

Looking for an Attorney?


Please type your question:

Close (x)

logo Find Legal Help for Your Breach of Fiduciary Duty Case - Submit Your Information Below

Do you need legal assistance with your Breach of Fiduciary Duty case?
LegalView may be able to help.


Submit your information below for a free, no-cost evaluation.

We'll submit your information to one of our partner firms.
LegalView's partners represent clients throughout the United States, for a very wide range of legal issues. Submit your information now, to see if one of LegalView's partners can help!

* Indicates Required Fields

First name *
Last name *
Email Address *
Phone Number *
()  -

State *
Legal Issue * Securities: Breach of Fiduciary Duty Change
Was There an Injury?
Please Describe The Injury

DISCLAIMER and STATEMENT OF NON-CONFIDENTIALITY

By submitting this form, you agree that completing the above is not intended to create an attorney-client relationship.

Disclosure

Legal WebTV Network LLC, LegalView.com, and LegalWebMedia.com are group advertising sponsored by the attorneys identified here. It is not a lawyer referral service. If you submit information on this website [more...]

Legal WebTV Network LLC, LegalView.com, and LegalWebMedia.com are group advertising sponsored by the attorneys identified here. It is not a lawyer referral service. If you submit information on this website, LegalWebMedia.com will submit your information to the law firms that pay for this group advertising and to respond to your requests for information concerning legal services in their assigned local areas. If there is no sponsoring firm in your state, your inquiry will be submitted to one of the sponsoring law firms on a predetermined, rotating basis. If the sponsoring law firm accepts your case, it will associate with licensed attorneys practicing in your state, if required; the sponsoring law firm may also contact other law firms to see if they may be able to assist.

The information provided by the LegalView.com and LegalWebMedia.com websites is for advertising and informational purposes and should not be considered as legal advice from the sponsoring attorneys. The websites contain general information and may not reflect current legal developments, verdicts, or settlements. LegalView.com contains information created by others or supplied through open forums; the sponsoring law firms are not responsible for the accuracy of this information. Any person viewing or receiving information from these websites should not act or refrain from acting on the basis of any such information without first seeking appropriate legal advice from an attorney in your area. Legal WebTV Network, LLC expressly disclaims any liability with respect to actions taken or not taken by the recipient based on any or all of the information or contents contained in these websites.

Any information sent to Legal WebTV Network LLC through this website is done using standard Web encryption techology. LegalView.com will exercise all reasonable care, within technological limits, to protect the confidentiality of any information submitted via Internet e-mail or through this website. By accessing this website, you may be seeking an attorney to represent you or legal advice. However, none of the sponsoring attorneys represent you yet.

The choice of a lawyer is an important decision and should not be based solely upon advertisements.

Any transmission of information, whether via Internet e-mail or through the website, is solely for evaluation purposes by the sponsoring law firms and their associates. The transmission of any information to any attorney sponsoring advertising on LegalView.com or LegalWebMedia.com does not create an attorney-client relationship between the sender and any recipient. An attorney-client relationship can only be created by a written, signed-fee agreement entered into with an attorney. The sponsoring attorneys will treat your information as a confidential communication for the purpose of obtaining legal services or legal advice.

For more information about the sponsoring law firms, please click here.
This form is secure and encrypted. More information about secure forms and your privacy here.