We seek compensation on behalf of individual investors who lost their savings because of their brokers’ misconduct or fraud.

Broker misconduct or outright fraud take many forms.  Some are easy to detect, others require careful investigation and analysis.  We represent investors who lost money as a result of broker misconduct or fraudulent activities such as:

  • excessive trading or account “churning”;
  • unsuitable investment recommendations;
  • lack of diversification or overconcentration;
  • recommendations that lack reasonable basis;
  • unauthorized trading;
  • sales of fraudulent investments;
  • misrepresentations or false promises;
  • failure to disclose risks;
  • unvetted investment products;
  • sales of unapproved investments;
  • theft of customer funds;
  • sales of Ponzi scheme investments;
  • ETC.

Most investment professionals are honest and take their duties very seriously.  In fact, we are sometimes contacted by investment professionals who bring to our attention questionable transactions in their new “customer” accounts by previous advisors.  Those few financial advisors who are dishonest, however, can wreak havoc with an investor’s life savings.

We often see one or more of these products or transactions in cases that involve broker misconduct and fraud:

  • oil and gas investments;
  • real estate investment trusts (“REITs”);
  • variable annuities;
  • investments in real estate;
  • tenant-in-common (“TICs”) programs;
  • collateralized mortgage obligations (“CMO”);
  • collateralized debt obligations (“CDO”);
  • auction rate securities;
  • asset backed obligations;
  • private placements;
  • hedge funds;
  • algorithmic trading (“formula-based” trading);
  • “alternative investments”;
  • high-yield bonds;
  • commodities;
  • options and margin trading;
  • forex;
  • offshore funds;
  • promissory notes.

To be sure, these products are not necessarily fraudulent or inappropriate.  However, our experience is that fraudulent or inappropriate conduct by investment professionals often involves some of these products.

 Contact us and tell us about your case

We have represented thousands of victims of investment fraud, against financial institutions that failed to discharge their duties and protect the investing public.  Each case is different and our past successes are not indicative of future results; we will be glad to review your case and advise you as to your options, at no charge.

We generally represent investors on a “contingency fee” basis, meaning we do not charge any legal fees unless and until we recover money for you.  Our general practice is to advance the case costs on the client’s behalf and recoup them out of (and up to) the amounts recovered.  A few jurisdictions (states) require the client to be responsible for the case costs; whenever that is the case we explain to the client what those costs entail.

If you believe you lost money because of investment fraud, it is important to take action.  You may call at (585) 310-5140, email us, or contact us by using the “Contact” form on this page, and tell us about your case.  There is no charge for us to evaluate your case.