If your financial adviser failed to act in your best interest, you may have a claim for relief based on fiduciary breach or Regulation Best Interest violations. Our investment fraud lawyers help investors identify duties, spot conflicts, and gather records, disclosures, and communications. We pursue recovery through arbitration, mediation, or litigation and fight for accountability.
Continue ReadingChurning is excessive trading in a customer’s account primarily to generate commissions, and regulators prohibit it. It often causes significant losses, even when markets rise. Warning signs include unauthorized transactions, unusually high trading volume, and commission charges that spike month to month. Our securities fraud attorneys can review statements and discuss recovery options with you.
Continue ReadingStockbrokers have a duty to watch for red flags of elder financial exploitation, because seniors are often targeted through high-commission products and unauthorized withdrawals. FINRA Rules 2165 and 4512 empower firms to place temporary holds, contact a trusted person, and review suspicious activity. Our attorneys help families document losses and pursue recovery through FINRA arbitration.
Continue ReadingPonzi scheme losses can feel overwhelming, but recovery is possible through prompt action. After a scheme collapses, money may come from receiver-controlled asset pools, restitution, or claims against brokers and firms through arbitration. Preserve statements, wire records, and communications. If you suspect fraud, contact an experienced investment loss attorney to evaluate liability and options today.
Continue ReadingHedge fund fraud takes many forms, including embezzlement, insider trading, misrepresentations, undisclosed risks, and hidden losses. Investors should watch for excessive or “too consistent” returns, vague communications, lack of independent audits, and illiquid portfolios. Because hedge funds face less SEC oversight and target wealthy investors, prompt legal advice can help preserve recovery options for you.
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