Securities and Investment Fraud Lawyers

An investment fraud lawyer helps clients recover losses from financial advisors and broker-dealers. Much of the work involves understanding securities products and FINRA rules and regulations. The Business Trial Group represents investors who have suffered losses due to broker fraud, negligence, or mismanagement. Our clients include individuals, companies, and investment funds that have suffered losses in stocks, bonds, options, mutual funds, currencies, annuities, real estate investment trusts , and other types of investments. Unauthorized trading is a common form of investment fraud in which a financial advisor or broker makes transactions via your nondiscretionary investment account without your explicit permission.

Stock Loss Lawyer

Again, there are laws surrounding fair treatment of complaints made against brokers. Brokers facing lawsuits will always have the same objective of avoiding – even evading – their liabilities. When you sue your broker, you can expect him/her to deny everything.

Similar to court proceedings, we will present our arguments as to the validity of your stock losses and provide evidence to support the claim, and then the arbitrator or panel will review the given testimony to come to a decision. Even if your brokerage contract includes a mandatory arbitration clause, you and your broker can still agree to mediate your dispute. FINRA handles more than 1,000 mediated claims each year; and, while not all efforts at mediation result in a settlement without arbitration, many do. While arbitration is an efficient and cost-effective way to resolve most claims against stockbrokers, being forced to arbitrate limits your options. Your stockbroker or investment advisor has made unauthorized trades on your account.

National Securities Arbitration and Regulatory Attorneys

They are exempted if they are not marketed to more than a certain number of individuals not considered Accredited Investors. So long as the investment sells to accredited investors, they maintain this exemption. Federal regulations permit trading in futures contracts on single stocks, also known as single stock futures, and specific security indices. As with options, futures contracts can have a significant degree of risk.

Stock Loss Lawyer

If you have lost money due to the wrongful, fraudulent, or negligent actions of the broker or advisor entrusted to handle your investments, Robert Pearce can help you through the process of seeking the recovery you deserve. Variable annuities are often recommended by investment advisors and brokers as a secure element of your retirement plan. Yet they are not suitable for many consumers, particularly elderly investors, and are sometimes sold against clients’ best interests. Carvana Stock Loss Lawyer pay some of the highest commissions in the securities markets, the annual costs can exceed 3%, and there are very high penalties for liquidating. FINRA requires the broker-dealer to perform what is known as a customer-specific suitability analysis before any recommendations are made. All recommendations and investment advice, including trading strategies, must be in an investor’s best interest and suitable for their investment objectives.

Frank LLP’s attorneys have years of experience and an impressive track record representing plaintiffs in such individual and class actions. Essentially, when we take on your case, we become your partner in recovering damages. Because the contingency-fee model aligns the financial interests of the client and attorneys, our only incentive is to obtain the highest possible recovery in your case. The penalties are often disguised in complex agreement language or through deceitful sales tactics. Like traditional debt, preferred stocks carry preference over common stock for dividend payments and bankruptcy proceedings.

3 months later when no other lawyer would listen they got me mid 6 figures. Great negotiator as I would have taken the first offer and they got me double. They are smart, down to earth guys that don’t talk down to you unlike other lawyers. There are numerous reasons why an SRO or governmental agency determines to initiate a regulatory inquiry. The inquiry could begin with the receipt of a letter requesting the production of customer records for one client or trading records for one particular stock.

Arguments such as putting the blame on you, the market, or both you and the market will arise. In other words, “injured innocence” is the first reaction you can expect from your broker. At the branch level, managers must be conversant with the current recruiting practices when they are looking to hire a new broker or when an existing broker resigns to join a new firm. If that resigning broker leaves the firm owing money to the firm collection efforts are frequently instituted.

Securities News

Rest assured if our securities law firm chooses to work with you, it is because we see a big light at the end of the tunnel. It is important that you regularly monitor your account for broker misconduct. If you have suffered significant losses on your investments, our attorneys can review the trading history of your account to determine if investment fraud may have occurred.