Phone :
516-684-9034
Email :
claims@fightingwallstreet.com
Phone :
516-684-9034
Email :
claims@fightingwallstreet.com
In the United States, there are approximately 5000 stock broker-dealers that conduct securities business with customers
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In the United States, there are approximately 5000 stock broker-dealers that conduct securities business with customers who place
Contact UsSERVING CLIENTS FOR MORE THAN 25 YEARS AS CONSULTANTS AND EXPERT WITNESSES IN SECURITIES INVESTMENT AND FUTURES TRADING LITIGATION.
A broker or investment adviser is prohibited from making any untrue material statement, or omitting to state material.
Although seemingly self-evident, a broker or investment adviser is prohibited from making any trade in a customer’s account.
It is unlawful for a broker or financial adviser to “excessively trade” or “churn” a customer’s account. While each customer.
Both claims sound in negligence whereby the broker or financial adviser purchases investment products for the customer.
Represents aggrieved public investors throughout the country in securities arbitration proceedings, concerning all types of claims against their financial adviser and/or stockbroker.
In the United States, there are approximately 5000 stock broker-dealers that conduct securities business with customers who place their financial future and trust. While the vast majority of the firms and agents associated with them act in accordance with the “just and equitable principles of trade” that govern the securities industry, it is also true that there exist a few “bad apples” in the form of firms, brokers and financial advisers that take advantage of trusting public investors for their own self interests.
While there exists different types of IRA accounts and each can have investment objectives ranging from “aggressive growth” to “conservative,” as the name indicates, a retirement account generally engenders a more conservative approach to investing than, for example, a traditional investment account. Customers’ IRA account assets are sometimes subjected to undue risk by their broker or financial adviser by being placed in inappropriate products or a manner of inappropriate trading, e.g., certain real estate investment trusts (REITS), variable rate annuities, the flipping of mutual funds and/or exchanging outside a family of funds, being subject to excessive trades/churning or excessive commissions, convinced to purchase low rated bonds or bonds and/or preferred shares represented as “being safe or as good as CDs,” etc. While not necessarily age related, given the age and likely retirement status of IRA customers who are also senior citizens, they have a special need to ensure that their broker or financial adviser is properly managing their IRA account.
Read More“Prior results do not guarantee a similar outcome”
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