Who Can File a Securities Fraud Claim?

Leading national investment fraud attorneys describe the qualifications for filing a securities fraud claim

Investors who suffer significant losses typically assume they have made an investment mistake, and feel a sense of embarrassment or shame over the money they have lost. In some cases, investor losses are traced to fraud or mismanagement on the part of the broker or investment company. If you have an inkling that your losses may not be the result of your own mistake - perhaps the loss seems greater than the risk you had perceived - it is wise to start asking questions.

Stock brokers, financial planners, and investment companies have a basic responsibility to exercise care in the handling of their clients' finances and investments. If you have sustained an unexplained loss or have noticed unauthorized or excessive trading on your account, you may be a victim of investment fraud. Consult with an attorney handling national securities fraud and FINRA claims to see if you are eligible to seek compensation.

Every case we handle is different, and our attorneys strive to provide individualized advice and attention. Contact our firm today for a free, no obligation investment fraud case review. Here are some of the qualifications our securities fraud lawyers will consider in determining if a claim has legal grounds:

• Investor Loss: An investor must have suffered a significant financial loss in order to qualify to file an investment fraud claim as FINRA arbitration. FINRA arbitration is the legal procedure by which investors may seek compensation for investment losses related to mishandling of their assets or blatant fraud. To learn whether your financial loss would qualify you to file a securities fraud claim, speak with one of our investment fraud lawyers in a free, no-obligation consultation.
• Stock Broker: In the experience of many of our clients, the first indication you have fallen victim to securities fraud is that your broker or investment advisor refuses to explain an investment loss, or becomes difficult to contact. If your stock broker is no longer returning your phone calls, or cannot give a clear explanation regarding an unexpected loss, you may qualify to file a claim.
• Signs of Securities Fraud: Investor fraud can be difficult for an investor to detect, primarily because many investors feel a sense of shame or embarrassment when they lose their savings. Look for these common signs if you have sustained a significant and surprising loss: The loss seems more significant than the risk your stock broker had communicated; you notice excessive or unauthorized trading on your account; your paperwork is missing basic information such as contact information for the investment company; your broker fails to respond to emails or phone calls; your broker cannot explain how and why the loss took place; the investment opportunity seemed too good to be true in the first place. If you notice one of these telltale signs, or otherwise have an instinct your investment company has not been honest, contact our investment fraud attorneys for a free case review.

Persons and family members of persons who meet these qualifications may qualify to file a securities fraud claim. Investors who have sustained significant and surprising investment losses are among those who may be eligible for compensation.

There are a variety of reasons you and your family may choose to file a securities fraud claim. First and foremost, it may be an opportunity to recover your savings and safeguard the financial future of your family. A secondary reason, which some investors find as important as the first, is to hold the stock broker or investment company accountable for any wrongdoing. Brokers and companies that act negligently, causing their clients to lose life savings, should be stopped from continuing to benefit at the expense of others. Federal regulations govern the conduct of these professionals, and investment fraud claims are individual investors' means to achieve justice and hold brokers accountable.

Investment fraud attorneys offering free, no obligation case review are available to speak with you and your family about your circumstances. To learn more about filing a securities fraud claim, please fill out the simple contact form on this page or use the chat feature to speak with a representative. One of our attorneys representing investors in national FINRA securities fraud claims will contact you promptly.