Do you have a claim?

Claims against stockbrokers and brokerage firms by individual investors

Breese Law Office PLLC specializes in cases that involve wrongdoing (fraud, negligence, incompetence or rules violations) by stockbrokers and brokerage firms.  The wrongdoing may take many forms:  failure to supervise, churning, unsuitability, unauthorized trading, theft, excessive trading, conflict of interest, self dealing, failure to know your customer or any of dozens of other misdeeds that are committed by brokers and brokerage firms every day.  Filing and prosecuting a claim against a brokerage firm is governed by complicated rules and arcane legal theories.

Since 2009, we have recovered more than $13 million in damages for our clients. 

If you believe you have a claim, let us examine your case at no charge and discuss the best options for you.

Here is a list of cases we have won in arbitration

Representation of stockbrokers in disputes with their employer

We have represented many stockbrokers in disputes of various kinds with their firms or former firms.  The majority of those cases involve brokers who leave their firm after which the firm attempts to collect repayment of a promissory note (forgivable loan) or of costs of training the broker.  We have litigated a number of cases all the way through litigation and settled the others.  We have saved our clients hundreds of thousands of dollars the brokerage firms have attempted to collect from them.