Securities

Have you suffered financial loss from investments due to your investment broker’s or financial adviser’s mismanagement of your investments?

Do YOU feel your investment broker has taken advantage of you by excessively trading your account and overcharging commissions?

These are some examples of the more common complains people have against their investment firms. You may have the right to recover the money you have lost or the commissions you have paid, if your broker acted negligently or fraudulently in handling your account.

We provide aggressive representation of individual investors against stockbrokers and investment advisers to recover losses stemming from negligent recommendations, churning, failing to execute orders and violations of the suitability rule. The suitability rule requires your broker to make investment recommendations that are appropriate for you given your age, risk tolerance, investment time horizon, net worth, income and other factors. Because most investment accounts include an arbitration agreement, an action brought against a broker generally cannot be filed in court, but rather must be brought before a FINRA arbitration.

The Firm also represents shareholders in cases against directors, officers, securities issuers, and professionals who offer and sell securities in violation of the state and federal securities laws or breach their fiduciary duties to manage the investments properly. We have represented investors against large and small companies, as well as both publicly traded companies and privately held companies.

We have litigated a wide range of disputes arising out of securities transactions, including insider trading, fraud, negligent misrepresentation, breach of fiduciary duty, as well as the illegal sale of “unregistered” or “unqualified” securities. We have also argued malpractice/negligence arising out of the offer and sale of securities to investors.

There are many instances when innocent investors are taken advantage of through fraud or lose their “nest egg,” because of the negligence or recklessness of those individuals and companies that participate in the securities markets. Both federal and state securities laws are designed to provide a wide range of protections to investors.

If you are the victim of securities fraud or the careless conduct of your financial advisor, you may have a right to recover your losses. To set up a free, confidential consultation with one of our experienced attorneys, contact us via telephone or email. We will put our experience and knowledge to work to obtain the best results for your case.