Sep 302012
 

A: Both state and federal laws may apply to this case, depending on the nature of the investment. Pennsylvania has multiple requirements for brokers and financial advisors, which if not followed, could result in liability. Double dealing and insider trading are common kinds of actionable lawsuits. You may also have state or federal fraud, breach of contract and/or misrepresentation claims. It is advisable to speak to a professional malpractice lawyer to discuss the specifics of the case and determine viability of other options, such as filing administrative complaints with state and federal agencies, such as the Securities and Exchange Commission.

For more information about the different kinds of misrepresentation actionable under Pennsylvania law, click here.

More Pennsylvania Stock Broker/Financial Advisor Liability Articles:

For more information, contact a Pennsylvania professional liability lawyer.

The lawyers at Schwartz & Blackman handle professional liability matters in the Pennsylvania and New Jersey area:

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Published: September 30, 2012

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