Single Mother Wins Investment Misconduct Arbitration

Philadelphia, PA (PRWeb) February 5, 2007 -- Catherine Humphrey-Bennett, attorney for Anapol Schwartz law firm recently obtained a six-figure settlement in an NASD arbitration case in favor of a single mother with three children who sustained heavy financial losses when her broker inappropriately churned and over-concentrated her account in technology securities.

"Brokers are obligated to carefully evaluate each client's investment goals to provide for adequate portfolio diversification," stated Humphrey-Bennett. "Concentration of a portfolio in any individual investment dramatically increases the risk of losses within that portfolio."

If a broker places the vast majority of a client's total investment holdings in one sector, and this sector declines significantly, the broker may be liable. Since all investors are unique, careful strategies must be used to properly diversify a portfolio. Failure to do so can result in liability when that portfolio sustains significant losses.

Attorneys Catherine Humphrey-Bennett, Joel Feldman, and Adam Green have obtained numerous awards and settlements on behalf of individual investors defrauded by their brokerage firms.

About Anapol Schwartz: Since 1977 Anapol Schwartz has been of the nation's preeminent law firms known for landmark verdicts and settlements and for providing clients with the highest level of personalized legal services. Eleven of Anapol Schwartz's lawyers have received jury verdicts in excess of $1 million. The firm specializes in maintaining its tradition of excellence in personal injury, medical malpractice, pharmaceutical, toxic tort, class actions, construction site accidents, products liability, automobile litigation, security/investment fraud, and employment litigation.

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