Securities and Investment Litigation and Arbitration
With few exceptions, stockbrokers, investment advisors, and insurance agents act as fiduciaries for their clients. Therefore, they are required to place the interests of their clients ahead of their personal goals. When individuals are harmed by the misconduct of their financial or insurance professionals, they may have grounds for a breach of fiduciary duty claim or other legal claims arising from their advisor’s conduct.
Common Types Of Securities And Investment Misconduct
Failure to Diversify Investments
Churning or Excessive Trading
Investment Fraud and Misrepresentation
Brokerage Firm's Failure to Supervise Brokers
Improper Variable and Equity Indexed Annuities
Private Placements - Unregistered Stock, Warrants, Limited Partnerships, Private REITs Promissory Notes, and Similar Securities Not Offered to the Public
Ponzi Schemes and Other Fraudulent Investment Schemes
Consult with an Experienced Attorney
The attorneys of Gaslowitz Frankel have years of expertise in handling the complex issues surrounding securities and investment misconduct and disputes. For trusted legal guidance, consult with the attorneys of Gaslowitz Frankel.