Typical Claims

Our firm represents individual and institutional investors in their disputes with the securities industry. The following are the most common claims: 

  • Violations of Securities Laws

  • Stockbroker Fraud

  • Stockbroker Theft

  • Breach of Fiduciary Duty

  • Unsuitable Investments

  • Breach of Contract

  • Misrepresentations

  • Omissions of Material Facts

  • Churning (Excessive Trading)

  • Unauthorized Trading

  • Over-concentration

  • Ponzi Schemes

  • Elder Fraud (Financial Elder Abuse)

  • Real Estate Investments

  • Failure to Supervise

    • Negligent Hiring

    • Selling Away

    • Lack of Due Diligence

  • SEC Whistleblower Claims

  • ERISA Violations

  • Hedge Fund Fraud

  • Labor & Employment Violations

    • State and Federal Court Civil Actions

    • FINRA, AAA and NYSE arbitrations

    • Class actions

Investment Products

Our firm is currently working on cases involving the following issues:

The Usual Suspects (Investment Firms)

  • AIG SunAmerica

  • AG Edwards & Sons

  • Ameriprise Financial Services

  • Ameritas Investment Corp.

  • AXA Advisors, LLC

  • Banc of America Securities (Bank of America)

  • Barclays Capital Inc.

  • BB&T Scott & Stringfellow

  • Bear Stearns

  • Berthel Fisher & Company Financial Services, Inc.

  • Cadaret Grant & Co. Inc.

  • Cambridge Investment Research

  • Capital Financial Group Inc. (H. Beck Inc.)

  • Centaurus Financial Inc.

  • Cetera Advisor Network LLC

  • Cetera Financial

  • Charles Schwab & Co., Inc.

  • Citigroup Global Markets Inc.

  • Commonwealth Financial Network

  • Credit Suisse Securities

  • Crowell, Weedon & Co.

  • Deutsche Bank Securities Inc. (Alex Brown)

  • Edward Jones

  • Fidelity Brokerage Services LLC

  • Financial Network Investment Corporation

  • First Allied Securities Inc.

  • FSC Securities Corp.

  • Girard Securities, Inc.

  • Goldman, Sachs & Co.

  • GunnAllen Financial, Inc.

  • H&R Block Financial Advisors

  • ING Financial Partners

  • INVEST Financial Corporation

  • Investors Capital Corporation

  • Janney Montgomery Scott LLC

  • Jefferies & Company

  • J.P. Morgan Chase (Banc One Securities)

  • J.P. Turner & Company, LLC

  • Legend Equities Corporation

  • Lincoln Financial

  • LPL Financial, LLC (Linsco/Private Ledger)

  • M Holdings Securities, Inc.

  • Merrill Lynch, Pierce, Fenner & Smith Inc.

  • MetLife Securities Inc.

  • MML Investors Services

  • Morgan Stanley & Co

  • Morgan Keegan & Co. (Regions Financial Corp.)

  • Multi-Financial Securities Corporation

  • National Planning Corporation

  • New England Securities

  • NEXT Financial Group Inc.

  • NFP Advisor Services Group

  • Northwestern Mutual Investment Services, LLC

  • Oppenhiemer & Company (CIBC Oppenheimer)

  • Pacific Life Securities Subsidiaries

  • Princor Financial Services

  • Raymond James & Associates (Raymond James Financial Services)

  • RBC Dain Rauscher

  • Robert W. Baird & Co. Inc.

  • Royal Alliance Associates Inc.

  • SagePoint Financial, Inc.

  • Securian Financial Services Inc.

  • Securities America Inc.

  • Signator Investors, Inc.

  • Southwest Securities (SWS Group, Inc.)

  • Stifel Nicolaus & Co. Inc.

  • Summit Brokerage Services, Inc.

  • The O.N. Equity Sales Co. (ONESCO)

  • Transamerica Financial Advisors Inc.

  • UBS Financial Services Inc.

  • VSR Financial Services, Inc

  • Wachovia Securities (Prudential Securities)

  • Waddell & Reed Inc.

  • Wedbush Morgan Securities

  • Wells Fargo Advisors

  • Woodbury Financial Services