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.)
From The Blog
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- Unsealed Documents in $54.4M FINRA Arbitration Case Reveal that Citigroup Did Not Disclose Municipal Bond Risks to Investors Last month, a US judge refused Citigroup’s request to overturn a $54.1M arbitration award that a ....
- Citigroup Global Markets Settles for $725,000 FINRA Fine Over Failure to Disclose Conflicts of Interest FINRA says that Citigroup Global Markets will pay a fine of $725K for not disclosing specific ....
- TD Bank Ordered to Pay Texas-Based Coquina Investments $67M Over $1.2 Billion Ponzi Scheme A jury has decided than TD Bank must pay Coquina Investments $67M for playing an assisting role in ....
- $78M Insider Trading Scam: "Operation Perfect Hedge” Leads to Criminal Charges for Seven Financial Industry Professionals Criminal charges have been filed against seven men over their alleged involvement in a $78 million ....
- Ex-SEC Lawyer to Settle DOJ Charges Accusing Him of Inappropriately Representing Ponzi Fraudster Allen Stanford Spencer Barasch, a former Securities and Exchange Commission attorney, will reportedly settle the ....
- Securities Fraud Lawsuit Names NRP Financial Inc. in $150M Minnesota Ponzi Scam A Minnesota securities fraud lawsuit, filed by court-appointed receiver R.J. Zayed, contends that ....
- Despite Reports of Customer Satisfaction, Consumer Reports Uncovers Questionable Sales Practices at Certain Financial Firms According to Consumer Reports, many of online readers are “very satisfied” with the services ....
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.
