Nationwide Securities Fraud - Stockbroker Fraud - Investment Fraud Attorney
Our attorneys and staff have more than 100 years of combined experience in the securities industry and in securities law. Several of our firm's 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.
Daily Headlines: "Wall Street Fraud!"
Millions of Investors Have Lost Their Life Savings and Retirement Assets!
Yet, property 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 our securities lawyers 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. Learn more about 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 securities lawyers. 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.
- Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M The U.S. Commonwealth of Puerto Rico will pay about $330 million of what it owes on general
- Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam The Securities and Exchange Commission is charging Edward Durante with bilking investors once again.
- Two Investors File Securities Arbitration Claim Against Santander Securities Over Puerto Rico Municipal Bonds Two investors, seeking to recover the investment losses they sustained in Puerto Rico municipal
- CFTC and FINRA File Charges Against Deutsche Bank Over Swap Data and Information Transmitted Over Squawk Boxes The U.S. Commodity Futures Trading Commission has filed a civil case against Deutsche Bank AG (DB).
- Mortgage Company President Charged With Defrauding Ginnie Mae U.S. prosecutors are charging Robert Pena with fraud. Pena, who is the founder and president of
- Securities Fraud News: Hedge Fund Manager Accused of Securities Fraud Involving Payoffs to the Terminally Ill, SEC Halts Trading in Neruomama Shares, and Commodity Pool Fraud Leads to More than $10M in Penalties and Restitution Investment Advisor Firm Accused of Paying Off Terminally Ill Patients to Commit Fraud The SEC has
- UBS to Pay $250K For Not Waiving Mutual Fund Fees The Financial Industry Regulatory Authority said that a UBS Group AG (UBS) unit will pay $250K to
- Texas Securities Fraud: State Fines The Investment Center and A Local Man Is Accused of Bilking Investors A New Jersey financial firm must pay $50,000 in Texas for allegedly not properly supervising one its