Securities Fraud Attorneys Help Investors With Claims - Investor Arbitration Lawyers When Stock Brokers Commit Broker Fraud
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Financial Fraud & Securities Fraud Attorney Protect Investors and Help Investors File Claims
Futures Fraud Attorneys New York NY
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Securities Fraud Lawyer to Handle Investor Claims of Securities Fraud

Investor Claims of Securities Fraud

We have brought securities arbitration and commodities arbitration claims for our investor clients (individual and corporate investors) who come from California to New York, throughout the United States and worldwide. We have successfully litigated securities arbitration and other financial claims at the major forums, such as the NASD (National Association of Securities Dealers), the NYSE (New York Stock Exchange), the NFA (National Futures Association), and the AAA (American Arbitration Association).

We have pursued claims against stockbrokers, brokerage firms and other investment professionals who have mishandled our clients’ funds. We can handle a wide range of abuses and violations, including:

  • Securities Fraud

  • Tax Shelter Fraud

  • Commodities Fraud

  • Hedge Fund Fraud

  • Annuity Sales Practice Abuses

  • Mutual Fund Abuses

  • Insurance Product Abuses

  • Stock Option Abuses

  • Internet Securities Fraud

  • Telemarket Fraud

  • Online Trading Abuses


Investor Claims Against Brokers or Other Financial Professionals

Your claims as an investor against financial professionals and brokers may include unsuitable investments, such as the placing of your funds in high-risk stocks or commodities for the broker’s personal gain and commissions, without informing you or taking into account your investment objectives such as age, financial situation and family circumstances.  Other specific investor claims are not limited to, but may fall into the following categories:

  • Stock Broker Fraud

  • Unauthorized Trading

  • Breach of Fiduciary Duty

  • Negligence

  • Supervisory Failures

  • Registration Violations

  • Excessive Use of Margin

  • Failure to Diversify Portfolio

  • Fraudulent Stock Research

  • Aiding Financial “Suicide”

  • Failing to Follow Buy-Sell

  • Failure to Follow Investment
      Strategy Instructions

  • Churning Your Portfolio

  • Excessive Trading

  • Stock Manipulation

  • Conflicts or Trading Against Your Interest

  • Over Concentration in a Specific Type
      or Kind of Investment

  • Opening Account Documentation

If you have lost retirement money, investments, or life savings because of questionable conduct by your stockbroker or other investment industry professionals, contact our securities fraud and commodities fraud lawyers.

Claims of Misrepresentation or Fraudulent Misrepresentation May Include Factors Such As:

  • Character of the Investment

  • Soundness of the Investment

  •  Failure to Adequately Describe
      Investment Risk

  • Omissions in Prospectus or Sales

  • Failure to Abide by Your Risk Tolerance

  • Guarantees of Investment Returns

We have decades of experience representing the legal interests of investors like you. We have helped many clients in your situation from our New York offices–contact us and find out how we can help you too.

Visit the  Securities Fraud Hotline or our main web site!