Sarasota County Bar Association
Manatee Chamber of Comerce


Fiduciary Negligence is a form of professional malpractice. This is when breaches of trust occur between investors and stockbrokers or financial advisors. An investment professional has a fiduciary duty to do everything they can to limit risk exposure and loss for their clients.

When negligence has taken place, it is possible to take actions to recover your losses. A lawyer specializing in investment law can review your case. They can help determine if you can take action.

Did your broker act irresponsibly with your money? Your broker has a duty of care and when they fail to act diligently on your behalf and it causes a financial loss, your broker may be liable for that financial harm.

Negligence Explained

Negligence is a breach of your broker’s professional duty. It is not a willful act. The investment industry has a code of ethics and standards of care related to the licenses that your broker holds. If you suffered a financial loss because your broker failed to meet their professional standard, then you may have a claim for negligence.

What’s the Rule?

Professional negligence requires the following four elements; 1) that the stock broker owed you a ‘duty of care’, 2) that the stock broker failed to meet their ‘duty of care’, 3) that this negligence caused damages, 4) that the damages can be quantified.

The team at Gucciardo law can review your full claim and help you establish the four elements of a successful negligence claim against your broker. Call us today to set up a free consultation.

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