Dear John Chapman,

Dear John Chapman,

My broker is acting very suspicious.

Every time I ask him about one of my investments, he finds a way to avoid the question. Can I sue him if he hasn't made me any money in 9 years?

-Broke as a Joke

Dear Broke,

It would be wonderful if there was a cut and dry answer for this question, but there are so many variables at play here, and several types of damage analyses based upon the type of case. Net-out-of-pocket losses only take into consideration the amount of money you actually lost due to your broker’s recommendations. “Market-adjusted” or well-managed portfolio” damages take into consideration what your account should have earned if invested properly. So, unfortunately, the answer is “possibly.” You’ll want to call us to have a conversation about the specifics of your investments and broker relationship, and we can go from there to determine whether or not you have a case.

John Chapman

John S. Chapman

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Dear John Chapman,

I have suffered a loss of over $200,000 from XX.

My advisor had me too heavily weighted in these individual bonds for my portfolio and for my age (70 years). I am...

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Dear John Chapman,

My broker took an unusually high commission on a transaction.

Can I sue?


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