Your commission-based relationship with your stockbroker allows them to make money while your returns are only reduced over a period of time. If your accounts have been traded in excess of four times over a period of a year, you can reasonably expect to move forward with your stock loss case. Before you can determine whether you have a case against your broker or financial advising company, you will need to understand exactly what constitutes stock market fraud. Your stockbroker or investment advisor is earning substantial fees while you are suffering losses or barely breaking even. The account statements you receive from your stockbroker or investment advisor don’t match your own records about the principal you’ve invested, your historical returns or the fees you agreed to pay.

While arbitration is more structured than mediation , it is much less structured and less time-consuming than litigating a securities fraud dispute in court. Matt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority , American Arbitration Association (“AAA”), JAMS, and in state and federal court. The firm is led by Scott Silver, a former Wall Street defense attorney who has been representing customers in securities and investment fraud cases since 2002. Scott is admitted to practice in New York and Florida and the firm’s FINRA arbitration attorneys represents investors nationwide. Recovering money from investment losses or fraud can be difficult and take time.

GWG Holdings Lawsuit & Bankruptcy

Falling victim to investment fraud can turn your life upside down. When you’ve set aside significant sums of money to put toward your future and those funds are siphoned away into the pockets a firm with bad intentions, it can be difficult putting your trust in anyone else moving forward. Attorney Robert Pearce has tried over 100 cases to trial verdict or arbitration award in his career. In this time, he has lost only four cases for investors, gaining the trust and respect of countless happyclients.

Are You Dealing with Investment Fraud?

In an arbitration, up to three arbitrators are chosen by the investors and advisers. These arbitrators then review the information provided, go over the evidence, listen to arguments, and issue an award or outcome. Though the results of a FINRA arbitration can be appealed to the courts, they are generally considered legally binding. The U.S. Securities and Exchange Commission handles hundreds of security fraud investigations every year. avaulta mesh lawyer result from tips or complaints made by the public. The most common violations involve stealing a customer’s securities or funds, misrepresenting important information about investments, insider trading, manipulating market prices of securities, and selling unregistered securities.

Typically, investors who are investing for the first time, choose to work with a financial advisor/broker to avoid this. We are thoroughly involved in the process with our clients and are there with you every step of the way. Our securities fraud attorneys want to win, for the benefit of our clients and for our own track record which we take seriously. Click here to learn why the SEC doesn’t help defrauded investors and why you need to hire a securities fraud attorney to help you recover your losses. Employment Law in the Securities IndustryToday, there are multiple employment issues facing brokerage firms, their executives, branch managers and human resources managers in the financial services industry.

The firms and brokers extoll the upsides of these products, painting them as a win/win investment. Some of these products are easily understood and explained, such as equity or bond mutual funds. However, problems arise when the firms and brokers attempt to supplement what was supposed to be just a simple investment. Our highly experienced and qualified lawyers will review your case and help you determine the best possible actions to take. Securities and Exchange Commission that investigates securities fraud.