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Breach of Fiduciary Duty

"Fiduciary duties" are held by people legally responsible for handling the money of others; for example, brokers authorized to make investments for clients without first notifying them.  A fiduciary is generally held to a high standard of ethics in order to ensure clients' money is not mismanaged.  Breach of duty is not determined by the performance of investments.  Instead, actions of the fiduciary are scrutinized to ensure responsible investing practices were followed.  When determining if a broker bears legal responsibility for a client's loss, it must be determined if prudent advice was given, if the broker, in fact, was a fiduciary, and if actions taken were in the best interest of the client.

Fast Facts

Issue name: Breach of fiduciary duty
Applicable law/agency: Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD)
Related topics: Securities, misrepresentation/omissions, overconcentration/failure to diversify, securities unsuitability, selling away, failure to hedge, churning
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Stockbroker/Dealer or Registered Investment Advisor?

The Wall Street Journal’s recent article about the obligations of stockbrokers to their clients highlighted the differences in the definition of a stockbroker or dealer and a financial... read more

Fiduciary Duty Means Following Prudent Investment Practices

The term "fiduciary" is inclusive of people who have the legal responsibility for managing someone else's money; this includes investment committees of retirement plans, trustees of private... read more

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Jury Verdicts Related to Breach of Fiduciary Duty

______ VERDICT - SUIT TO RECOVER BROKERAGE COMMISSIONS PURSUANT TO EXCLUSIVE BROKERAGE AGREEMENT - DEFENDANT COUNTERCLAIMS ALLEGING BREACH OF FIDUCIARY DUTY BY PLAINTIFF BROKER NULLIFYING RIGHT TO COMMISSIONS.

______ VERDICT - BREACH OF FIDUCIARY DUTY - DEFENDANT MAJORITY SHAREHOLDER BREACHES FIDUCIARY DUTY TO PLAINTIFF MINORITY SHAREHOLDERS BY IMPLEMENTING REVERSE STOCK SPLIT FREEZE-OUT AND FAILING TO FAIRLY COMPENSATE PLAINTIFFS FOR THEIR SHARES.

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Videos Related to Breach of Fiduciary Duty

Information about Breach of Fiduciary Duty

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News Articles Related to Breach of Fiduciary Duty

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Useful Web Sites Related to Breach of Fiduciary Duty

Anapol Schwartz, Securities Fraud Attorneys

Burg Simpson, Securities Attorneys

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Wikipedia Entries Related to Breach of Fiduciary Duty

Fiduciary

Breach of duty in English law

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Books Related to Breach of Fiduciary Duty

In action based on breach of fiduciary duty and fraud, Sixth Circuit upholds Tennessee District Court's exercise of personal jurisdiction over Belgian ... : An article from: International Law Update

May a Member of an LLC or a Limited Partner Bring a Breach of Fiduciary Duty Claim Against Those Controlling the LLC or Partnership as a Diversity Action? : An article from: The Review of Litigation

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