Practice areas
Negligence
Negligence is a broker or firm failing to use the care a reasonably prudent professional would, such as ignoring risk, failing to monitor an account, or not following instructions. You do not need to prove intent to recover losses caused by negligence.
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Common questions
Negligence: what clients ask
How is negligence different from fraud?
Fraud involves deception. Negligence is carelessness: falling below the standard of care the industry expects. Both can support a claim, and they are often brought together.
Is the brokerage firm responsible for its broker's mistakes?
Generally, yes. Firms are responsible for supervising their brokers, and a failure to supervise is a separate claim against the firm itself.
What does negligence look like in practice?
Missing obvious red flags in an account, failing to carry out instructions, placing investments without understanding them, or ignoring changes in a client's circumstances are common examples.
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