Securities & Investment Fraud Attorneys

The Financial Industry Regulatory Authority or FINRA regulates the brokerage industry and administers the arbitration process. Evidence gathering is one of the most important responsibilities of an investment lawyer. There’s just too much paperwork you may think are great as evidence, but the court can still dismiss. The role of your lawyer is to sift through all these documents and figure out which ones will best shed light on your broker’s bad and illegal behavior. To do this, the lawyer will gather all relevant documents and paperwork.

Stock Loss Lawyer

It can be difficult to know for sure if you’re the victim of investment securities fraud, but there are several common signs to look out for. These acts regulate investment firms and advisors to minimize conflicts of interest that may arise and provide a level of transparency for investors. The Securities Exchange Act of 1934 created the Securities and Exchange Commission –an organization that oversees, registers, and regulates brokerage firms, transfer agents, clearing agencies, and the nation’s securities self-regulatory organizations . The verdict and subsequent recovered amounted to 80% of the investor’s net losses. If you have been the victim of fraud or negligence, it is imperative that you seek guidance from an investment fraud attorney who can review the specific circumstances of your individual case. But under the suitability rule, as long as the investment is suitable, the firm might have an undisclosed conflict of interest, and that’s simply wrong.

Current Investment Fraud Investigations

Every stock broker fraud lawyer at our firm is far too familiar with cases of stock broker fraud and misconduct that often take place in a volatile market. We really grew to despise the way broker-dealers and many financial advisors treated and still treat their customers. In fact, we got so sick of defending bad guys that we, in essence, fired our broker-dealer clients and built something we could feel good about. We wanted to fight for causes and people we could believe in, and now we do, every day.

Investment Fraud Leading to Loss in Securities, Stocks & Bonds

We do not enter into attorney-client relationship through this website, or through your communication with us on this website. By continuing to browse this website you agree that an attorney-client relationship with RS is formed only upon the execution by both parties of an attorney-client agreement. Any investigation referenced on this website is independent and conducted by the Rosca Scarlato LLC law firm privately. Any information or statements contained in this website, regarding pending or past investigations, is derived from public records and should be viewed as allegations, not statements of facts, unless specifically indicated otherwise. Please check the “Legal Disclaimer” page for important disclaimers. The UBS Yield Enhancement Strategy investor center is the resource for investors who invested in the UBS YES program.

At Colling Gilbert Wright & Carter, we have significant experience assessing these situations and determining what would be the best step to take next. Unlike a bank, when your portfolio’s value decreases, the brokerage firm sells off your assets to offset drops in value. By doing so, you lose any potential increases in value in the other assets in your portfolio.

Better yet, consult with an attorney who can advise you of your tax obligations. Additional practice areas include probate, wills and trust, estate and trust litigation, tax/corporate, appellate, family/divorce, commercial litigation, real estate, zoning, and construction litigation among our various practice areas. Arbitrators are generally three neutral individuals who serve as the judge and jury for your case. Some have more arbitration experience than others; however, in order to become an arbitrator, one must apply and receive training. It is known that UBS operated over a dozen closed-end bond funds which were hit by the downturn in Puerto Rico bonds. For example, one closed-end UBS fund, the Tax-Free Puerto Rico Fund Inc. had a net asset value of $5.52 on Sept. 11, 2014 down from $6.73 the week before and $9.55 on January 31, 2014.

It can be difficult to recover assets lost to fraud or other scenarios in which an investor has experienced a problem with an investment. Coinbase class action lawsuit is that every investment has risk, from government bonds to speculative high-tech stocks. Investors are always on the lookout for investment opportunities that will increase their returns while minimizing risk.

He and his group of professionals are outstanding strategists that can execute with precise fervor and unyielding determination. Theirs is a huge wave of facts, research, precedents and preparation, that has impressed me in its thoroughness and creativity, and most importantly with the results. In my book, he and they are those of a very rare kind that one wants to keep for a very long time. At The Law Offices of Robert Wayne Pearce, P.A., we believe the ultimate barometer of our success is surpassing the expectation of our clients. Under the Act, your registered investment advisor owes you certain fiduciary duties.

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