Cases We Handle
We represent customers of securities brokerage firms, investment advisory firms and hedge funds who have been defrauded or have suffered investment losses. Stockbroker and investment misconduct comes in many forms, and here are few common examples you may have experienced:
Unsuitable investment recommendations
Recommending the purchase of an investment that is not appropriate for the particular investor given his or her risk tolerance, investment objectives, age, financial situation, etc.
Churning
Excessive trading that serves no legitimate purpose and only generates commissions.
Unauthorized trading
When a financial advisor buys and sells without client authorization.
Selling away
When a financial advisor recommends an investment to a client that is not approved by the brokerage firm, it may be held accountable for its failure to supervise.
Elder Financial Exploitation or Abuse
When a financial advisor preys on a senior or vulnerable adult to obtain an improper benefit.
Importantly, just because your situation does not fit squarely into any one of these categories does not mean you have not been wronged or that we cannot help. If you experienced losses and suspect you were deceived or taken advantage of by a dishonest advisor, don’t hesitate to contact us for a confidential, no obligation consultation.
Get the Help You Deserve
If you’re facing challenges related to securities or investment fraud, we’re here to assist you.