Practice Area

Securities Fraud

Investors who suffer losses from broker misconduct, market manipulation, or misrepresented investments often have limited time to act. We pursue claims in court and FINRA arbitration to recover losses and hold wrongdoers accountable.

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How We Approach Securities Fraud

Our Process

STEP ONE

Identify the Scheme

We analyze trading records, offering documents, and communications to establish how investors were misled.

STEP TWO

Pursue Regulatory & Civil Claims

We coordinate civil claims alongside relevant regulatory findings — SEC, FINRA, state securities regulators — where applicable.

STEP THREE

Recover Investor Losses

We pursue judgment, settlement, or receivership distributions toward recoverable funds.

Common Questions

Frequently Asked Questions

What conduct qualifies as securities fraud?

Securities fraud can include misrepresentation or omission of material facts in connection with an investment, unauthorized trading, unsuitable investment recommendations, and fraudulent schemes such as Ponzi structures. Whether specific conduct is actionable depends on the facts, including what was disclosed, what was reasonably relied upon, and the resulting losses.

Is my claim better suited to court or FINRA arbitration?

Many disputes involving a broker or brokerage firm are subject to mandatory FINRA arbitration under the customer agreement, while claims against issuers or non-member parties may proceed in court. We review the relevant account agreements and the parties involved to determine the appropriate forum before a claim is filed.

What is the deadline to bring a securities fraud claim?

Deadlines vary by claim type, governing statute, and jurisdiction, and can be shorter than clients expect. Because delay can permanently bar a claim, we recommend contacting us promptly after discovering a potential loss so we can evaluate the applicable limitations period for the specific facts involved.

How are damages calculated in an investor claim?

Damages calculations typically account for actual investment losses, and in some cases lost opportunity or other recoverable amounts, depending on the theory of liability and applicable law. We work with financial experts where appropriate to establish a defensible damages figure specific to the claim.

Representative Matters

Case Results

Result

$1.1M

Arbitral Award

Securities Fraud · Broker Misconduct · D. New Jersey · 2024

A retired investor's savings were placed into unsuitable, high-risk investments by a broker who misrepresented the risk involved.

We pursued the claim in FINRA arbitration and secured an award covering the investor's losses and associated damages.

Past results do not guarantee future outcomes.

Discuss Your Securities Fraud Matter

Contact our attorneys for a confidential evaluation of your case. No obligation. All inquiries protected by attorney-client privilege.

Request a Free Consultation (212) 555-0100