Investor Advocacy

Investment fraud may take many forms, including:

• Misrepresentations or omissions concerning investments
• Violation of federal and/or state securities anti-fraud statutes
• Unauthorized trading
• Sale of investments away from the investment firm, i.e., “Selling Away”
• “Churning,” i.e., excessive trading in a customer account for the primary purpose of generating commissions for the broker/advisor
• Sale of unsuitable investments, including inappropriate use of “margin” trading
• Breach of fiduciary duty, broker/advisor negligence, and failure to supervise
• Failure to adequately diversify investments in a portfolio, or over-concentration in particular investment(s)
• Violation of consumer fraud statutes, consumer protection laws, and other laws protecting the elderly and vulnerable/disabled persons with respect to investing
• Ponzi schemes

Such broker/advisor misconduct might occur in connection with many different investment types, including:

• Equity securities, i.e., common stock and preferred stock
• Municipal bonds, corporate bonds, junk bonds, and bond funds
• Variable annuities, indexed annuities, fixed annuities, and L shares
• Mutual funds, hedge funds, and Exchange Traded Funds (ETFs)
• Oil & Gas and other energy-related programs
• Real Estate Investment Trusts (REITs), Real Estate Limited Partnerships, Unit Investment Trusts (UITs), and other alternative investments
• Private placements of securities, bridge loans, and promissory notes
• Initial Public Offerings (IPOs), secondary public offerings, and Private Investment in Public Equity (PIPEs)
• Initial Coin Offerings (“ICOs”), cryptocurrencies, and crowdfunding ventures

It is important to note that not every investment loss is the result of fraud. Investing, by definition, has inherent risks. An investor may lose money even if the investment firm acted legally and appropriately. We will not seek to recover your ordinary market losses. Rather, it is our mission to correct unlawful conduct and injustice when it arises.