Securities Fraud Attorneys and Securities Arbitration Lawyers

How can investors protect themselves from securities fraud and commodities fraud?

Although state and federal regulatory bodies are charged with protecting the rights of investors, they typically go after the more newsworthy incidents of securities fraud and commodities fraud rather than assisting individual or institutional investors harmed by stock broker fraud. Relying on due diligence is not enough in today’s fast paced global economy, especially when the securities and investment industries hide their misconduct in false audits and statements, as numerous hedge fund managers and the dot.com research analysts were charged with doing.

The investment fraud and securities arbitration and litigation attorneys at Eppenstein and Eppenstein in New York have successfully pursued claims against brokers and other investment professionals in cases involving:

Misrepresenting Investments Including Character, Suitability, Risks, and Soundness
Failure to Adequately Describe Risk or Failure to Abide by Your Risk Tolerance
Unauthorized Trading
Fraudulent Stock Research, Sham or Misleading Account Statements, Sham or Misleading Hedge Fund Audits
Unsuitable Investments Including Placing Your Funds in High-risk Stocks or Commodities for Personal Gain and Commissions, Without Informing You, or Taking into Account Your Investment Objectives Such as Age, Financial Situation and Family Circumstances
Investment Objectives, Risk Profile or Opening Account Documentation Falsification
Churning (Buying and Selling Securities for the Purpose of Generating Commissions), Excessive Trading

Contact Eppenstein & Eppenstein to schedule a consultation with one of our Securities Arbitration Attorneys.


	Stockbroker Abuses: Maximizing Your Recovery for Losses

A few of Eppenstein & Eppenstein Arbitration Recoveries for Investors

$2,000,000 Million Plus: A retired businessman from Colorado was awarded over double his loss including punitive damages plus interest. $1,000,000 Million Club: We traveled to Boston for the case of an elderly, retired engineer from Massachusetts who was induced by his broker to trade his blue chip portfolio for unsuitable investments. The broker dealer settled before the arbitration panel ruled on the case. It is estimated that his settlement was over double the largest amount that had been awarded by an SRO arbitration panel in Boston at that time. Contact us to discuss your case. More Recoveries for Investors


	Leading Advocates of Laws and Regulations to Benefit Investors and the Securities Arbitration Process

Listen to excerpts from the Landmark U.S. Supreme Court Case Shearson v. McMahon

The Firm’s litigation practice has taken us to the highest courts in the U.S. and New York. Eppenstein and Eppenstein was a staunch advocate in landmark cases for investor’s rights before the United States Supreme Court, the Second Circuit Court of Appeals in New York and the New York State Court of Appeals. We have lectured extensively on investment fraud matters before the New York Stock Exchange, the National Association of Securities Dealers, and the American Arbitration Association, and at symposia in Moscow and the Middle East – always on behalf of the investing public or the disenfranchised industry employee. Investment Arbitration Recoveries for International Investors.

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Telephone: (212) 679-6000
Fax: (212) 759-3122