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Types of Law
Investor/Securities Malpractice
Securities fraud, also referred to as investment fraud, is often is nothing more than stealing. According to the SEC, incidents of securities fraud have increased dramatically in recent years. Anyone can be a victim of investment fraud. Whether a client has lost money due to unscrupulous conduct or plain negligence on the part of the investment advisors, we can help. Our primary goal is to represent investors who have lost money because of the mishandling of their brokerage accounts. Our firm has represented clients who were victims of a variety of wrongful acts by stockbrokers, financial planners, financial advisors and the institutions with which they had invested their savings. These claims may include:
- Misrepresentations
- Unauthorized transactions
- Execution failures
- Excessive mark-ups
- Commission "churning"
- Improper sales practices
- Improper or unsuitable investments
- Disappearing funds
- Internet broker issues
- Unregistered brokers
- Broker bribes
- Fraudulent research
These types of cases involve a variety of investment vehicles, including stocks, bonds, "penny" stocks, "junk" bonds, options, warrants, commodities, mutual funds, REIT's, limited partnerships, and derivative securities.
To recover their losses, investors must file claims for recovery. Statistics demonstrate that an individual investor is far more likely to recover if represented by experienced attorneys. Since investors sign account documents at brokerage firms that almost always contain binding arbitration clauses, most claims against brokerage firms must be resolved in securities arbitration through entities such as the NASD.
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