Articles Tagged with Stock Market Fraud

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logo-squareMost people rely on a financial planner for advice on how to invest their savings. They place their trust and their future in the hands of people they believe are experts. It’s assumed that the financial planner will look at the age, income, savings amount, financial needs, and individual goals of their client to determine the best possible investment strategy with a favorable outlook for the client. Unfortunately, this is not always the case. A Florida stock market fraud attorney explains what constitutes stockbroker fraud and your legal rights.

Stockbrokers and financial planners are legally bound to exercise due care in dealing with their clients investments. If a broker fails to uphold that duty, the broker may be charged with professional negligence and stock fraud.

Some examples of fraudulent stock practices include:

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logo-squareHave you lost money due to the careless mistakes or intentional fraud of a stockbroker or other financial adviser? Using FINRA arbitration, we may be able to recover your loss. An FINRA claim is made on investment deals with stocks, annuities, mutual funds and bonds. Using a Florida stock market attorney, you can see justice for your wrongdoing.

If you have a claim against a financial advisor or stockbroker, they are required to go to arbitration before FINRA. Rather than a long drawn out court hearing, the Financial Industry Regulatory handles the session. There will be 1-3 arbitrators at the hearing, and a decision will also be made at that time. The wait for a hearing takes about a year.  It depends on the size of the claim as to how many arbitrators will be assigned. More than 60% of all cases are settled, and there’s no need for a hearing.

These circumstances are difficult, and there is much paperwork. An investment fraud attorney can help with the FINRA arbitration case and get your money back. What are the most common types of investment fraud, they are:

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