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NATIONWIDE REPRESENTATION

A fiduciary relationship may exist between a broker and a customer based upon the nature of the relationship itself or may be inferred by the professional status of the broker. Some jurisdictions recognize the customer-broker relationship as fiduciary in nature; in others, it will be necessary to demonstrate that a fiduciary relationship existed by virtue of the nature of the relationship.

The degree of control exercised by the broker over the account will influence this determination. The more a customer relied upon the broker, the better the chance of demonstrating a fiduciary relationship. The nature of such a relationship places a duty upon the broker to act in the best interests of his customer and to make only those recommendations which will best serve the customer's interests.

Breach of fiduciary duty is asserted in conjunction with other causes of action as well as violations of certain regulatory rules.

If you believe that you have suffered an investment loss due to improper professional management, promptly contact one of our attorneys for a free consultation at (800) 433-5336. Or, if you prefer, you may e-mail a complete description of your potential case to one of our attorneys for a no obligation evaluation.

While every case is unique, most broker-dealer cases are subject to mandatory fee-based arbitration. We will help you objectively and fairly evaluate your claim and, if appropriate, assist you in aggressively pursuing the matter on a contingency fee basis.