Wronged investors have options, and may have the ability to bring a claim in FINRA Securities Arbitration against their stockbrokers or investment professionals for securities fraud or investment fraud, the sale of unsuitable investments, churning or excessive activity, stockbroker negligence, the failure to supervise, or the breach of fiduciary duty.
Has your stockbroker or investment professional engaged in investment fraud or securities fraud through the sale of proprietary investment products, made false promises, or provided you with misleading or fraudulent investment or financial planning advice not to achieve your investment objectives, but instead to further their own financial interests, or the financial interests or production requirements of their brokerage firm? If so, you may have a claim for securities and investment fraud and should consult with a qualified securities arbitration and investment fraud lawyer to determine if you have a viable claim which may be brought in securities arbitration before FINRA Dispute Resolution, Inc. (fomerly known as the New York Stock Exchange, and NASD Dispute Resolution, Inc.
Before you invest, learn if your broker or the brokerage firm with whom they are associated have been the subject of stockbroker fraud claims, disciplinary actions, bankruptcy, or regulatory actions for misconduct including securities fraud, investment fraud, or the violation of the federal securities laws or self-regulatory rules. Learn if your broker or their brokerage firm been the subject of customer initiated, investment related stockbroker fraud complaints or securities arbitration proceedings. Learn whether NASD Regulation, Inc., or the New York Stock Exchange, now FINRA (Financial Industry Regulatory Authority) has ever brought an action against your broker for the violation of its rules. Find out which brokerage firms your broker has been previously associated, and whether these brokerage firms have been expelled or disciplined by securities regulators for investment fraud. Before you invest, investigate.
We work hard our entire lives and save. We hand over our savings to someone whome we believe is a fiduciary, and has better knowledge and expertise, particularly with respect to investments to wisely and conservatively invest our life-savings. Many of these individuals engage in stockbroker fraud or investment fraud and make false promises concerning your anticipated returns or income simply to obtain your investment business. People rely upon these false promises to make life decisions, take early retirement, and make withdraws from the Individual Retirement Accounts (IRAs) or 401k plans.
Others are made false promises and fraudulently induced to purchase defective financial products which promote their own financial interest instead of yours.
Senior citizens are particularly vunerable to investment fraud. At the end of the day, they find out that there money is all gone and their life-savings have been depleted based upon the misleading or fraudulent investment advice from their stockbroker or investment professional, and have suffered losses because their stockbroker sold them risky or aggressive investments, and failed to disclose risk.
Moreover, they discover that their stockbroker broker sold them these securities, mutual funds, or variable annuities, to further the stockbrokers' own interests, or the interest of their firm. Either way, you lose. Your savings have been depleted, you are uninsured, and at your age and station in like, are reasonably unemployable.
These injured investors have options and should contact a securities arbitration and investment fraud lawyer for a free consultation.
If you have suffered damages as a result of inappropriate or unsuitable investment advice, you may have the ability to sue your stockbroker to recover these investment losses in FINRA Securities Arbitration. Contact Us.
While no special designation or certification as a specialist or certification in the field of practice in securities arbitration or investment fraud litigation has been granted or approved by any state or the American Bar Association, many lawyers hold themselves out as "Investment Fraud Lawyers" or "Securities Arbitration Lawyers" when in fact, in some instances, these individuals have little or no experience in this area of the law, and are engaged in a variety of other endeavors including personal injury, workmen's compensation, immigration, or medical malpractice. While no representation is made that the quality of legal services to be performed by us is greater than the quality of legal services to be performed by other lawyers, before you hire a securities arbitration lawyer or a lawyer professing to be an investment fraud lawyer, ask that person exactly how many stockbroker fraud, securities fraud or investment fraud cases that they have handled.
Securities arbitration awards and the identity of counsel in these cases can be researched on-line and you can find out exactly how many cases your potential lawyer has actually handled to a Final Hearing before FINRA Dispute Resolution.
We exclusively represent individual investors in claims against brokerage firms for stockbroker fraud, securities fraud and investment fraud in FINRA (NASD) Securities Arbitrations, or NYSE Securities Arbitrations, nationwide, where permitted under the applicable Rules of Professional Conduct and state law. We handle all cases on a contingency fee basis meaning that there is no cost or obligation, unless we are able to make a recovery for you, and there is never any charge for a free consultation. Contact Us.