Brokers are expected to act in their clients’ best interests, offering transparent, lawful and trustworthy financial guidance. When those standards are ignored, investors may face[...]
Investment Loss Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
Tax-advantaged investments like conservation easements can seem appealing on paper, promising substantial deductions and long-term gains. However, when the risks are understated or the valuations[...]
Brokers are entrusted with their clients’ financial futures and are expected to offer investment guidance that aligns with each individual’s goals and risk tolerance. But[...]
Brokers are expected to guide their clients with integrity, diligence and recommendations that suit each investor’s financial profile. When that duty is compromised, the results[...]
Investors rely on their brokers to act in their best interest, making recommendations that are honest, informed and appropriate. When that trust is broken, the[...]
Private placements can offer appealing returns, but for many investors, they come with risks that are neither obvious nor fully explained. When brokers fail to[...]
Real estate investments are often presented as secure and profitable options for building wealth, but when brokers fail to clearly communicate risks or intentionally mislead[...]
Investing should be a path to financial growth and security, but fraudulent schemes and unethical broker practices can derail even the most well-planned financial strategies.[...]
One of the worst feelings is watching your financial goals slip away because a trade you trusted your broker to execute was never carried out.[...]
Margin trading can be a powerful investment strategy, offering the potential to amplify gains, but it comes with considerable risks. Margin trading can lead to[...]