Securities Fraud
Securities law and investment law protect the investor
When you invest your money in a security, you expect your stockbroker to be not only knowledgeable, but ethical. However, when your broker violates your trust by securities fraud, you can take legal action. Securities fraud encompasses:
- Insider trading. Trading based on information not available to the public
- Accounting fraud. Intentionally keeping inaccurate books or presenting false information
- Misrepresentation. Presenting misleading or untrue information about a company or its securities to an investor or the public
Security law and investment law are on your side. Securities fraud is a crime. Perpetrators can include brokers as well as securities analysts, brokerage firms, corporations, and private investors. These violators of the law are subject to civil and criminal punishments, including imprisonment. Click the link for further information on stock fraud.
Securities arbitration can help you recover
Securities arbitration, an alternative dispute resolution tool, is used often to settle disputes between investors and brokers. Impartial and knowledgeable, arbitrators well versed in securities law and investors’ rights can relieve you of a lengthy and costly litigation process.
Check your agreement with your broker. It may well contain a clause addressing pre-dispute arbitration agreements requiring you to participate in arbitration should a dispute arise.
Regulation supports investors but cannot resolve disputes
The Securities and Exchange Commission (SEC) has a goal of protecting investors from fraud and recommends investors to obtain private counsel to advise them of their rights to resolve disputes and recover losses through litigation in court or through arbitration.
In addition, the Financial Industry Regulatory Authority (FINRA) may investigate and impose civil fines against companies and individuals suspected of securities fraud.
The Willeford Law Firm—the investor’s choice for legal recovery of financial loss
If you believe you are a victim of securities fraud, contact the Willeford Law Firm. We represent investors in cases of securities fraud to help you recover financial losses caused by a broker’s or brokerage house’s wrongdoing. We guide you through the claims process and focus on reducing your emotional and financial stress.
Call our securities lawyers at 1-800-706-5196 to schedule your free consultation or use the online form to tell us about your securities fraud situation.
