Don’t Let a Stockbroker
Victimize You.
Fight Back!

  • Attention Risk Adverse Investors!


    Coronavirus & COVID-19 Losses

    If you have suffered losses as a result of Coronavirus &
    COVID-19, call (800) 718-1422 IMMEDIATELY. LEARN MORE

If you have suffered losses due to Stockbroker negligence, we can help you fight back!

Stockbrokers and Financial Advisors may have a fiduciary responsibility to act in the best interests in their clients. While all investments carry risk, many financial professionals do not act in a proper fashion to protect their clients or their clients’ assets. As a result, people can lose significant amounts of money. That is where we come in.

At David A. Weintraub, P.A. we represent investors who have been taken advantage of by unscrupulous stockbrokers and wealth managers. We seek to right the wrongs and have their clients compensated for their losses. LEARN MORE

Read More Latest News

Typical Securities Claims

  • Breach of Fiduciary Duty


    Breach of Fiduciary Duty

    Fiduciary Duty is a legal obligation of one party to act in the best financial interest of another – to place another’s interests first – to make the client’s interests paramount. Read More

  • Unsuitability



    FINRA's suitability rule states that firms and their associated persons “must have a reasonable basis to believe” that a transaction or investment strategy involving a recommended security is suitable for the customer. This reasonable belief must be based on Read More

  • Failure to Diversify


    Failure to Diversify

    Failure to diversify means that a Stockbroker or Financial Advisor fails to recommend an appropriate allocation of one’s assets into different investment asset classes. Read More

  • Churning



    Churning, in its most basic form, occurs when a stockbroker/financial advisor buys and sells securities for and account, without regard for the customer’s investment interests, for the purpose of generating commissions. Read More

  • Unregistered Stockbrokers and Unregistered Sales Assistants


    Unregistered Stockbrokers and Unregistered Sales Assistants

    By law, stockbrokers and certain sales assistants must be registered with FINRA and with state regulators. If they fail to meet this requirement, an investor may have the right to cancel a purchase or sale. Read More

  • Unregistered Securities


    Unregistered Securities

    Before securities, such as stocks, bonds and notes can be offered for sale to the public, they first must be registered with the Securities and Exchange Commission and/or a state regulator. Read More

  • Concentrated Positions


    Concentrated Positions

    If you have a large percentage of your assets invested in a single stock or bond, a small number of stocks or bonds, or even a single sector of stocks or bonds , then you have a concentrated position. Concentrated positions expose the investor to significantly greater risk Read More

  • Negligence



    Negligence occurs when a financial advisor or stockbroker breaches a general duty of care resulting in damages.Just like the victim of an auto accident may be entitled to sue the driver who was at fault, the victim of a stockbroker’s negligence may also be entitled to seek relief. Read More

  • Unauthorized Trading


    Unauthorized Trading

    Unauthorized trading is the purchase or sale of securities that a Financial Advisor or Stockbroker makes for a customer without the customer’s permission. The Financial Industry Regulatory Authority (FINRA) has a specific rule that prohibits any Financial Advisor or Stockbroker from making unauthorized securities trades Read More

  • Breach of Contract


    Breach of Contract

    When an investor has an oral or written contract with a financial advisor or stockbroker, and that person breaches their contractual obligations, they may be financially responsible for the breach. Read More

  • Breach of Third Party Contract


    Breach of Third Party Contract

    In certain situations, you may be a third-party beneficiary of a brokerage firm’s contract with a regulator, such as FINRA. Read More

  • Failure to Follow Instructions


    Failure to Follow Instructions

    As a fundamental element of their relationship with the customer, Stockbrokers/Financial Advisors, as well as registered sales assistants, are required to follow the customer’s instructions.  They may be liable if they fail to do so.  Read More


About David Weintraub


David Weintraub has represented Wall Street’s largest securities firms in state and federal courts. From 1984 until 1997, I represented the majority of this country’s largest securities firms. After returning to private practice in 1997, I have represented hundreds of retail and institutional investors in claims varying from under $100,000 to $100 million and continue to offer extensive knowledge and experience in working for investors who have suffered significant losses.

In addition to maintaining a general commercial litigation practice, I continue to represent individual registered representatives with employment issues, including but not limited to regulatory inquiries, CRD expungements, defense of promissory note claims, and employment discrimination.