Investors have lost billions of dollars as a result of securities fraud and/or malfeasance by unscrupulous investment advisors, securities brokers, and companies.

Investment advisors have a legal duty to assess a client’s risk tolerance and investment objectives. They are also required to disclose all material information related to an investment and to present the client with any risks associated with an investment.  Likewise, companies have a duty to its shareholders and investors to present an accurate financial picture of the company and the investment.

Securities fraud takes many forms but commonly involves investors making decisions based on information that has been misrepresented by a stockbroker, investment bank, investment advisory firm, or company representative.

Securities and investor litigation may include the following areas:

  • Accounting fraud
  • Breach of fiduciary duty by investment advisors providing advice to clients
  • Embezzlement
  • Lying on SEC filing forms
  • Manipulating stock prices
  • Mismanagement of investment funds
  • Misrepresentations of investments or omissions of material facts
  • Ponzi schemes
  • Pyramid schemes
  • Retirement planning negligence, which considers the acceptable level of risk to assume and the sustainable monthly income withdrawal rate
  • Shareholder derivative lawsuits based on management malfeasance and self-dealing
  • Unauthorized trading, meaning an advisor makes a transaction without a client’s permission

Securities and investment-related litigation serve to make our clients whole again while promoting corporate responsibility and marketplace integrity.  Relying on our in-depth knowledge of the financial services industry and securities litigation, we advocate for the rights of all investors, from those of modest means to high net worth individuals. We have taken on large, national, well-known companies in the investment advisor industry with great success.

All investments carry risk, but if you believe you have been damaged through misrepresentations or negligence by an investment advisor or a company, please Contact Us.