As an investor, you have a right to expect your broker or investment advisor to behave in an ethical and responsible manner. In too many cases, however, the people we trust to invest our money and protect our retirement funds take actions that serve their own interests instead of the investor’s. In cases like these, the need for sound, aggressive legal representation is critical.
At the Sonn Law Group, we are passionate about protecting the interests of investors who have been wronged by their investment advisors or stockbrokers. If you’ve suffered significant losses in your investment accounts, we encourage you to browse the articles below to gain an understand of how our Firm may be able to help you recover losses
Browse Investment Loss Articles from Sonn Law Group
- What is Selling Away? Risks, Regulations and Legal Recourse
- How to Become a Whistleblower
- Understanding Investment Loss Recovery
- Understanding FINRA Rule 4512: What Investors and Firms Need to Know
- How to File a Complaint Against a Financial Advisor
- Solicited vs. Unsolicited Trades: What Investors Need To Know
- SEC Charges South Carolina Resident with Operating $20 Million Ponzi Scheme
- Can an SEC Lawyer Help Me Recover Investment Losses?
- How to Sue Your Financial Advisor or Stockbroker Over Investment Losses
- What are the Most Common Forms of Stockbroker Fraud?
- Who are the Best Investment Fraud Lawyers in the United States?
- How a Ponzi Scheme Lawyer Can Help Victims Recover Investment Losses
- What Investors Need to Know About “Selling Away”
- How to File a Complaint Against Your Financial Advisor or Stockbroker
- Did Your Financial Advisor Act in Your Best Interests?
- What Does a Securities Lawyer Do for Investors Who Have Lost Money Because of Fraud or Negligence?
- How a FINRA Attorney Can Help You Recover Investment Losses
- Financial Advisor Scams: The Most Common Ways that Advisors Harm Investors
- What You Need to Know If You Believe Your Financial Advisor Is Stealing Your Money
- Securities Litigation Settlement Tax Treatment – Are Settlements Taxable?
- Can My Broker Lend My Shares?
- FINRA Rule 3210: Accounts At Other Broker-Dealers and Financial Institutions
- FINRA Rule 2165: Financial Exploitation of Specified Adults
- Misrepresentation By Omission: What Investors Need to Know
- Securities Arbitration Respondent Went Bankrupt- Now What?
- FINRA Rule 2342: “Breakpoint” Sales
- Promissory Note Fraud: What Investors Need to Know
- Security Exchange Commission Complaint: How to Report Your Brokerage Firm or Advisor to the SEC
- What is a Real Estate Ponzi Scheme?
- FINRA 2111 Suitability Rule
- What is Hedge Fund Fraud?
- FINRA Rule 3280: Private Securities Transactions
- FINRA Rule 12200: Definition of Customer
- FINRA Rule 5123: Private Placements of Securities
- FINRA Rule 4210: Margin Requirements
- Understanding and Recognizing Oil Investment Scams
- Stockbroker Duties: What Duties Does a Broker Have to Investors?
- FINRA Rule 3270: Outside Business Activities
- The Statute of Limitations for FINRA Arbitration
- How Do I Know If My Financial Advisor is a Fiduciary?
- Collateralized Loan Obligations (CLOs): Wall Street Loves Them, But Investors Should be Weary
- FINRA Rule 2080: Complaint Recording
- Can a Broker Sell Your Stocks Without Permission?
- FINRA Rule 5270: Front Running of Block Transactions
- Can My Broker Sell Me Unregistered Securities?
- Stockbroker Misconduct: The 11 Most Common Forms
- Financial Advisor Background Check
- Can I Sue the Brokerage Firm for Losses?
- A Complete Guide to Elder Financial Abuse
- How to Report a Ponzi Scheme
- Unauthorized Trading: What Investors Need to Know
- What are Non-Traded REITs?
- Breach of Fiduciary Duty: A Guide for Investors
- Fiduciary vs. Broker: What is the Difference?
- UBS Puerto Rico Bonds: What Investors Should Know
- Financial Advisor Pyramid Scheme
- Lack of Diversification: What Investors Need to Know
- Leveraged and Inverse Exchange Traded Funds (ETFs)
- Questions to Ask Your Financial Advisor/Stockbroker
- FINRA Failure to Supervise Rules
- FINRA Rule 9554: Failure to Comply with an Arbitration Award
- FINRA Mediation: A Guide For Investors
- FINRA Rule 12510: Depositions
- FINRA Arbitration Awards
- FINRA Arbitration: A Complete Guide for Investors
- Derivative Securities: What Investors Need to Know
- How to Check the Credentials of a Financial Advisor
- What Are Exchange Traded Funds (ETFs)?
- Concentration Risk: What Investors Need to Know
- What is the “Fraud-on-the-Market” Doctrine of Securities Fraud?
- Highlands REIT Complaints
- UBS Exchange Traded Access Securities (ETRACS): What Investors Need to Know
- Is Arbitration at FINRA Mandatory?
- What is Securities Law?
- FINRA Expert Witness: How an Expert Witness Impacts Your Securities Claim
- What is Securities Based Lending?
- What is Negligent Misrepresentation?
- FINRA Rule 2510: Discretionary Accounts
- World Elder Abuse Awareness Day: detecting and preventing scams
- What is a Real Estate Investment Trust (REIT)?
- FINRA Rule 3240: Borrowing From or Lending to Customers
- Wall Street’s self-regulator blocks public scrutiny of firms with tainted brokers
- Understanding the Mortgage Markets
- The Subprime Mortgage Crisis: Understanding the Meltdown
- Elder Abuse Issues and The Securities Industry
- The Secondary Market and Government Sponsored Entities (GSEs)
- Closed End Funds: What Investors Need to Know
- Agency Pass Through Securities
- Collateralized Mortgage Obligations (CMOs)
- Mortgage Backed Securities Are Not Easily Understood by the Average Investor
- FINRA Rule 2268: Requirements When Using Predispute Arbitration Agreements for Customer Accounts
- What is a Registered Investment Advisor?
- FINRA Attorneys’ Fees: What will I pay?
- FINRA Rule 8210: Provision of Information and Testimony and Inspection and Copying of Books
- 4 Common Types of Real Estate Fraud
- Finra reviewing rules on outside business activities and private securities transactions
- Can I Sue for Punitive Damages?
- FINRA Rule 5320: Prohibition Against Trading Ahead of Customer Orders
- Stockbroker Fiduciary Duty: What Investors Need to Know
- A Summary of FINRA’s Discovery Guide
- Puerto Rico Bond Default Consequences
- SEC Halts Fraud Targeting Seniors
- FINRA Rule 2010: Standards of Commercial Honor and Principles of Trade
- FINRA Rule 2150: Improper Use of Customers’ Securities or Funds & Prohibition Against Guarantees and Sharing in Accounts
- Non-Discretionary Account vs. Discretionary Account
- Ponzi Scheme vs. Pyramid Scheme: What’s the Difference?
- What is a Broker CRD Number?
- What is the FINRA Securities Helpline for Seniors?
- 5 Senior Investment Fraud Red Flags
- Understanding FINRA’s Elder Abuse Proposal
- Ponzi Scheme Examples: 10 of History’s Most Infamous Frauds
- FINRA Rule 5240: Anti-Intimidation / Coordination
- FINRA Rule 5280: Trading Ahead of Research Reports
- What is Financial Advisor Malpractice?
- What is the Statute of Limitations on Securities Fraud?
- What is a Ponzi Scheme?
- Suing for Investment Losses: Practices that Create Brokerage Firm Liability
- Identifying a Ponzi Scheme: The Red Flags to Watch For
- Common Remedies and Claims in Ponzi Cases
- Receiverships and Fraudulent Transfers in Ponzi Schemes
- Claims Against Third Parties in Ponzi Cases
- Collection Issues in Ponzi Cases
- What is Securities Fraud?
- What is LIBOR? How Does it Affect me?