Securities & Investment Fraud

As with any investment, there are risks associated with buying and selling stocks, and those risks can lead to losses. But many times, serious losses occur because financial advisors, stockbrokers, and investment professionals commit fraud or negligence. In such cases, experienced legal counsel is invaluable to help people recover their hard-earned money.

We are uniquely experienced in handling cases of securities and financial instrument fraud and negligence, broker-dealer negligence, retirement and investment loss claims, abusive tax shelter and breach of contract. In addition to appearing in federal and state courts, we routinely represent clients in arbitration hearings before the Financial Industry Regulatory Authority (FINRA), the self-governing body of securities dealers.

We represent clients in the following matters:

  • Churning or Excessive Trading
  • Unauthorized Trading
  • Misrepresentation of Material Facts
  • Lack of Diversification
  • Unsuitable Recommendation
  • Negligent Portfolio Management
  • Ponzi Schemes

We represent clients in the following areas: