We have represented thousands of investors nationwide and recovered losses and other damages* for them from stockbrokers and their firms
*Results will vary depending on the facts of each case
Our attorneys and staff have more than 100 years of combined experience in the securities industry and in securities law. Several of our firms' attorneys served as a vice president or as compliance officers of one or more major brokerage firms. Our experienced team is devoted to assisting institutional and individual investors nationwide to recover losses caused by the inappropriate actions of investment advisors and their firms. We offer a free consultation to those who contact us through our Website. Se habla español. (We have extensive experience representing investors outside the United States with claims against U.S. based investment firms.)
- Ponzi Scams: Madoff Victims to Get $93M, Fraud Lawsuits Name Insurance Brokerage Head in $10M Scheme Investors who were bilked in Bernard Madoff's Ponzi scam will be getting back another $93 million.
- SEC Rejects Broker's Efforts to Start RIA While Behind Bars The U.S. Securities and Exchange Commission has barred David Scott Cacchione from the securities
- Over $44M Lost in Alleged Investment Adviser Scam Involving Total Wealth Management According to a court-appointed receiver, investors who were the victim of a financial scam allegedly
- Financial Fraud Victims' Suffering is More Than Just Monetary, Affirms FINRA Report According to "Non-Traditional Costs of Financial Fraud," which is a new research report by the FINRA
- Ex-Green Bay Packers' Bruce Wilkerson Awarded $2M Against Resource Horizons Group Over Ponzi Scam Involving Rogue Broker Bruce Wilkerson, the former tackle of the Green Bay Packer, has been awarded $2 million against
- Consumer Groups Accuse SEC of Not Protecting Retail Investors and Poorly Regulating Investment Advisers A letter to the SEC from consumer groups claims that the agency is not meeting its obligation to
- Brookeville Capital Partners Ordered by FINRA to Pay $1.5M for Private Placement Fraud The Financial Industry Regulatory Authority said that Brookeville Capital Partners must pay over $1
- Wealthfront CEO Claims Schwab is Fooling Investors Over "Free" Automated Investment Platform Adam Nash, the CEO of Wealthfront, claims that Charles Schwab & Co. (SCHW) is deceiving
Daily Headlines: "Wall Street Fraud!"
Millions of Investors Have Lost Their Life Savings and Retirement Assets!
Yet, properly invested any losses would have been small. Many investors' lives were destroyed because brokerage firms lied to their clients (and brokers) or other misconduct or negligence by the firm or broker. It is wrong when life savings are lost through unsuitable high risk stocks, options, mutual funds - or even annuities or bonds! Margin borrowing often made the losses even greater. Some brokers and firms now blame investors for their own losses. Don't be fooled by these tactics!
If you feel you may be a victim of Wall Street fraud or negligence contact us for a free consultation.
What is Broker Fraud?
"Broker fraud" includes theft, lying and deceit, but it also includes other types of wrongdoing, such as churning, unauthorized transactions, unsuitable investments and other acts of greed, incompetence and negligence by stockbrokers, financial planners, and others in the securities industry. Common forms of broker misconduct.
There are regulations and laws written to protect investors. Securities regulators "police" the securities industry and issue fines and suspensions. To recover their losses investors must file claims for recovery. Statistics demonstrate that they are far more likely to recover if they are represented by experienced attorneys. Since investors sign account documents at brokerage firms which almost always contain binding arbitration clauses, most claims against brokerage firms must be resolved in securities arbitration instead of court. Learn more about securities arbitration.
Our primary goal is to represent investors who have lost their savings and retirement when their brokerage accounts were mishandled. Our firm has represented thousands of clients nationwide who were victims of misrepresentations, commission churning, unsuitable investments, unauthorized transactions, execution failures, excessive mark-ups, disappearing funds, botched transfers, web-broker outages, "selling away" from firms, unregistered brokers, unregistered securities, improper margin liquidations, broker bribes, fraudulent research, "boiler room" sales practices and other wrongful acts. Those cases were concerning stocks, bonds, "penny" stocks, "junk" bonds, options, warrants, commodities, mutual funds, REIT's, limited partnerships, derivative securities and other investments. We have also handled other types of cases for investors and minority shareholders. More about our firm.
Check out your stockbroker from our list of recent NASD enforcement actions. Click here to learn why the SEC doesn't help defrauded investors and why you need to hire a securities lawyer to help you recover your losses.
Click here to learn about common mistakes that investors make when interacting with brokers after they suspect something is wrong.
Click here if you want to know how retirees are targets for unethical money managers. Here is some information about annuities, a prime investment product sold by stockbrokers in recent years partly because of the large commissions the sales generate.