Pulman, Cappuccio & pullen proudly represents individuals who have been victimized by their investment advisors resulting in investment and other life altering losses.

The attorneys at Pullen, Cappuccio & Pullen can easily identify the warning signs of investment and securities misconduct by investment and financial advisors.

What makes a good broker/dealer failure case?

  1. Churning—You get more mail from your stock broker than from anyone else or your mutual funds or ETFs keep turning over and over.

  2. Fiduciary Duty/Fraud—Your broker asks you for a loan.

  3. Suitability—Your broker tells you that he, his mother, family or kids bought the stocks he now wants you to buy.

  4. Unauthorized Trading—A trade appears in your account that you did not authorize or your broker does not follow your instructions to liquidate a stock.

  5. Suitability—Your broker pressures you to buy a stock, stating that if you don’t buy it now, it’ll be gone.

  6. Compliance Violations—Your broker offer to settle a disagreement by giving you a personal check or giving you cash without involving the brokerage house.

  7. Fraud—You stop receiving monthly statements or confirmations from the brokerage house

  8. Suitability—Your broker asks you to sign a letter from his firm acknowledging that all trades have been “suitable for you” and in accordance with your wishes and tells you that the letter is just a formality.

  9. Suitability/Margin—Your broker suggests you take out a home equity loan against your home and let her use the proceeds to invest in the stock market.

  10. Suitability, Churning, or Unauthorized Trading—“Feel Good Letters.” You receive a letter from the branch manager thanking you for your business and telling you to call him if you have any questions.

  11. Suitability/Variable Annuities—Your broker suggests that you put all of your money in an annuity, inside your retirement account, or the term of an annuity is longer than the life expectancy of the client.

  12. Fiduciary Duty—All investments are in proprietary mutual funds.

IMPORTANT: Submitting this form does not create an attorney/client relationship.

Name *
What did you tell the broker about the kind of investment you wanted to make?
What did you buy?
What did your broker tell you about each investment?
What do you think the broker did wrong?