Bringing A Claim Against A Fraudulent Broker Or Investment Advisor
Our Dallas law firm represents individuals and small-business owners who have lost money through the actions of stock brokers and others responsible for managing their investments.
Negligent or fraudulent transactions may have made their investments perform poorly or go sour altogether because of:
- Inappropriate churning of investment transactions (peddling of excessive trading solely to increase a broker’s commissions)
- Investments unsuitable for a particular investor’s stated objectives
- Promotion of transactions without regard to negative taxation consequences
- Promotion of transactions without regard to an investor’s stated risk tolerance or cash liquidity needs
- Withholding recommendations to invest at a certain percentage breaking point that the investor should have been alerted about
- Promotion of transactions on the basis of promised coming dividends that benefited the broker but may have harmed the investor
- Inappropriately urging investors to put “all eggs in one basket”
Securities involved may have included mutual funds, stocks, bonds and similar investment vehicles. Before or after harm has been done, we can explain relevant federal and state laws designed to protect our clients with substantial investments. For our clients who have already suffered because of wrongdoings such as those described above, we are prepared to bring legal action designed to settle the score,
Legal Remedies For Securities Fraud And Wrongdoing
Depending on their specific concerns after losses have occurred, we help our clients bring claims and lawsuits to obtain compensation for money lost through investment fraud or wrongdoing.
When a potential client or new client brings concerns to our attention, we review public records to discover patterns that may indicate wrongdoing. We then devise a plan of action to hold that person or entity fully responsible for our client’s losses.
Arbitration is often the required venue for the resolution of securities-related disputes. Waranch Nunn represents clients in Financial Industry Regulatory Authority (FINRA) arbitration as well as in lawsuits. Our years of experience and track record of success inspire confidence in our clients, who look to us for resolution and recovery of their losses.
For More Information About Securities Law Violations
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