Sarasota County Bar Association
Manatee Chamber of Comerce

Breach of Contract

When two people or entities form a binding contract, it has terms and conditions. Violating any of these terms and conditions constitutes what we call a “breach of contract”.

The same holds true in the investment world. Investors will enter into agreements with stockbrokers or financial advisors.

It’s so important to keep a record of all agreements and legal contracts. Maintain accurate records. Your contract will stand up in a court of law. But, you must have all records to prove the breach of contract.

Hire a reputable lawyer to help with the details leading up to and on your day in court.

Did your broker make promises to you that they failed to keep? Whether those commitments were made verbally or in writing, you may have a claim for breach of contract.

Breach of Contract Explained

As a client, you are paying money in exchange for promises from your broker, either written, spoken, or implied. If you believed that your account would be handled in a certain manner and it wasn’t, you may be able to seek damages for breach of contract. Most claims against brokers involve a breach of their New Account Agreement along with other breaches either oral or implied.

What’s the Rule?

Breach of Contract is one of the most common breaches of State Securities Acts. In addition to their agreements with you, your broker has professional obligations through FINRA.

You may be entitled to a claim regardless of whether the breach occurred in writing. The only way to find out if your claim is valid is to speak to a qualified securities lawyer.

Brad Gucciardo and his team can determine if you qualify to make a breach of contract claim – call for a free consultation today.

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