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SECURITIES FRAUD

Investors often ask professionals to handle their investment decisions because they lack the expertise to conduct them on their own. In doing so, people place their trust and money in a broker who has a duty to serve their interests. However, this can result in disastrous consequences if a financial adviser engages in wrongdoing or otherwise betrays the client’s confidence.

Did Your Broker or Financial Adviser…

  • Recommend risky investments?

  • Excessively trade your account?

  • Execute unauthorized trades?

  • Over-concentrate your portfolio?

  • Earn huge commissions while you lost money?

  • Excessive use of margin?

  • Recommend unsuitable investments?

  • Sell you a high risk private placement?

  • Sell you highly leveraged ETF’s?

  • Fail to limit securities losses?

Investment Fraud?

 

Sadly, many Americans lose their life savings due to criminal actions by stock brokers, corporate executives, brokerage firms, financial analysts, and corporations. If you have been victimized by securities fraud of any kind, take legal action now to recover your financial losses and even be awarded additional damages.

After the 1929 stock market crash and consequent Great Depression, Congress passed two important pieces of legislation to regulate the securities industry: the Securities Act of 1933 and the Securities Exchange Act of 1934. These laws created the U.S. Securities and Exchange Commission (SEC), which is responsible for protecting investors, regulating the securities market, and enforcing and establishing rules to govern financial activity.

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