Broker misconduct is increasingly including areas previously thought of as mere inattention. For example a broker's failure to protect assets comes under the breach of the fiduciary duty. Failure to protect assets includes a failure to diversify. Likewise an untimely or careless disregard of a profit, or failure to close a trade when the stockbroker has actual knowledge of a market condition which is significant may cross into the area of protection of assets claims: As well is a failure to protect profits. Although no arbitrator will find an investment advisor, financial advisor, stockbroker responsible for your failure to act, they are increasingly finding liability for stockbroker's failure to protect your assets due to negligence or inattention.

Stock brokerage houses have the duty to supervise and monitor their stockbrokers: and this is how your inattentive or negligent stockbroker can create a liability for his firm. The monitoring of stockbrokers by their firms, and the duty to enforce compliance responsibilities, often ties a firm to worry over careless or inattentive stockbrokers. Increasingly firms are monitoring the ebb and flow of all transactions within a stockbroker's book. If you feel you have been caused losses by your stockbroker's failure to supervise your account or failure to protect assets you may find a remedy in arbitration. Your stockbroker fraud attorney will subpoena any other complaints against that individual. If there is a course of action within the firm you may well be included in a class of investors who have been subject to broker malfeasance or broker misdeeds. Breach of the duty to act to protect assets may be caused by conflict of interest or a stockbroker's concentration of assets in inappropriate risk categories. With the increase in compliance regulations and increased responsibility of brokerage firms to supervise, often times an investor can be in an injured class without actual knowledge.

For example some brokers may be negligent to such an extent with other asset classes that your failure to supervise properly claims may have merit. Unsuitable recommendations and investing your profits in high risk vehicles are other failure to protect assets shortcomings. In analyzing your losses your stockbroker fraud attorney may see both unsuitability and over concentration in your portfolio. As well, the assets held in your account may be initially regarded as low risk. Money market funds historically have been low risk places to park money. However when money market funds lose liquidity, as occurred in 2008, with knowledge your broker may be liable for failure to protect your assets by allowing them to remain in money market funds that became either illiquid or frozen.