Securities Fraud Q&A

There are various types of investment fraud that call for extensive monitoring of investment risks and opportunities, well before you intend to make investments in any entity or company. Fraudulent stockbrokers will sway investors into purchasing stocks beyond their risk level, trade stocks without permission... Read More
Investment advisor or stock broker fraud can take several forms. Acts of fraud can include lying, stealing, or the failure to disclose material information about an investment. Malpractice can also include such things as failure to properly diversify an account (for example having too much... Read More
Some (but not all) investment fraud can cause a “red flag” to be raised that can make an investor suspicious. The investor should be on alert to look for such red flags. The following are a few of the more common things to watch for:... Read More
When you invest your money through a broker or brokerage firm you are placing a lot of trust in that person and entity. One way to make sure your trust is not misplaced is to check out the background of the person or firm you... Read More
Securities fraud refers to any misrepresentation of investment information. This includes withholding important information relating to the investment risks and providing false or misleading information in order to take advantage of the investor for acquiring personal gain. If you feel you may be a victim... Read More
Securities consist of bonds, mutual funds, variable annuities, and stocks sold by a financial planner or stockbroker. Bonds refer to money that is loaned to an issuer, a corporation, a state, a government, or any such entity. After a period of time, the lender is... Read More
There are many types of investment fraud: Unsuitability An investment advisor’s first responsibility is to know his customer – to acquire necessary information about the investor’s financial situation, investment goals and objectives, future needs, and risk tolerance in order to recommend suitable investments for that... Read More
If you think your investment advisor has committed securities fraud against you, you are most likely feeling upset, confused, and searching for the next step to take. Here are some steps to take, and those to avoid, to make sure you protect your rights and... Read More
The biggest issue to most investors is the loss of money. Can you get your money back after being a victim of investment securities fraud or advisor malpractice? Frankly, it depends upon whether or not your advisor or stock broker has violated the rules and... Read More
Nearly all national brokerage companies and many larger regional stock brokerage firms require their customers to sign FINRA arbitration agreements as a condition upon you doing business with their company. This means that if you, for any reason, need to sue your investment advisor, stock... Read More