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Fiduciary Duty Claims Involving Investment Advisers and Other Financial Professionals,” authored by Partner, Stephen Brodsky


We are proud to share that Stephen Brodsky, a partner of Mazzola Lindstrom LLP, had a chapter of his published by the American Bar Associationfor a book about fiduciaries.  In his chapter, Stephen compares the fiduciary obligations of investment advisers with the contractual obligations of broker-dealers.  He discusses the legal frameworks for each, starting with the Investment Adviser’s Act of 1940 up to the SEC’s Regulation Best Interest (Reg BI), and then gives real world examples, along with case decisions, to explain when and how fiduciary obligations may come into play.  To read the chapter in full click here

Summary of the full publication below:

Litigating Fiduciary Duty Claims is written to provide guidance regardless of which party (plaintiff or defendant) the lawyer represents. Topics covered include an explanation of what a fiduciary duty is and what triggers the duty; direct and derivative claims; claims involving majority shareholders, limited liability companies, partnerships, trusts and estates, the government, lenders, and financial professionals; insuring breach of fiduciary duty claims; and more.  Regardless of the details of your case, this book is a great place to start.

For more information on the entire book entitled Litigating Fiduciary Duty Claims or to order the book click here