Investment & Securities Fraud Attorney

Many people have lost monies in the financial markets, in light of the financial crisis of 2008 and its lingering effects, which continue to the present day. A viable claim for recovery, however, requires more than the mere loss of monies. Causes of Action for the recovery for losses include breach of contract, breach of fiduciary duty, unsuitable investment sales, speculative investment sales, unauthorized trading, churning, fraud and embezzlement.

Investment Loss Claims: Broker or Financial Advisor Misconduct

The first step in determining whether you have a claim and can recover any losses from stocks, bonds, mutual funds and other types of securities due to improper conduct is by consulting with an attorney experienced in representing victimized investors. The fact that you have sustained investment losses does not necessarily mean you have a valid claim. We will help to determine if there is a viable claim for negligence or misconduct on the part of your broker or financial advisor to provide a foundation for your claim.

Account Churning, Margin Trading, Elder Abuse

Unfortunately, brokers engaged in “churning” of customer accounts, inappropriate margin trading, as well as the elder abuse of senior investors, have served to wipe out a lifetime of family savings from many unsuspecting and trusting investors.

Also, if you feel you have sustained losses at the hand of a Registered Investment Advisor, the first question you might want to ask is whether or not he or she is legitimate and properly licensed or registered to engage in the provision of these services, in the first instance. A simple checklist of questions should lead you to answers to various questions you may have about your Registered Investment Advisor.

We offer a free initial consultation to investors who feel they may have sustained unnecessary investment losses as a result of the improper conduct of their financial advisor, stockbroker, insurance agent, or banker.

Lottery winners have also fallen prey to unscrupulous financial advisors, stockbrokers, and Ponzi schemes.