Securities Fraud

Investors who lose money to broker misconduct, market manipulation, or a materially misrepresented investment face two challenges at once: understanding what actually happened, and moving quickly enough to preserve their legal options. Whitmore Harlow LLP represents individual and institutional investors in securities fraud matters, pursuing claims in court and before FINRA arbitration panels.

Identifying Actionable Misconduct

Not every investment loss is the product of fraud, and not every instance of fraud is easily provable from the outside. We closely review account statements, trading records, offering documents, and communications between a client and their broker or advisor, to determine whether losses stem from ordinary market risk or from conduct that's actually actionable.

Many securities disputes are subject to mandatory arbitration under the customer agreement between an investor and their brokerage firm, while others, particularly claims against issuers or non-member parties, may proceed in court. We evaluate the relevant agreements early, since the choice of forum affects both strategy and timeline.

Working Toward Recovery

Securities fraud claims are frequently time-sensitive, governed by limitations periods that can be shorter than investors expect. We recommend seeking an evaluation promptly, since delay can foreclose options that would otherwise be available. Where litigation or arbitration proceeds, we work with financial experts to quantify losses and pursue recovery through judgment, settlement, or applicable regulatory distributions.