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Investment Fraud and Securities Fraud

Investment and Securities fraud arise out of allegations that losses are because of misconduct or causes unrelated to market forces. Investment and Securities fraud that is related to registered securities is governed by the Securities Exchange Commission (SEC). Investment/Securities fraud claims filed under Section 10(b)(5), the fraud provisions of the Securities Exchange Act of 1934, or other claims for misrepresentations, may involve some aspects of fraud, deception, misrepresentation, non-disclosure or omission of material facts related to the purchase or sale of a security. Frequently, investment and securities fraud cases are only limited by Wall Street’s ability to find new and creative ways to abuse investors. Our lawyers have extensive experience in representing institutional and retail investors in actions involving claims for excessive trading or “churning”unsuitable investment advicebreach of fiduciary duty, selling away (i.e., when the product being offered by the registered representative has not been approved for sale by his/her firm), and other misconduct by financial advisors. Investment/Securities fraud that is related to non-registered securities is given the appearance of legitimacy by the promoter of the investment/security through various methods to unwary or unsophisticated investors. Common red flags of an investment or securities fraud include:

  • Investment Guarantees of Principal or Interest;
  • Investment Sold Without Prospectus (unregistered);
  • Unfamiliar Custodian of Funds;
  • Complex, Difficult to Understand Investment;
  • Advisor Without Any Credentials or Licenses;
  • Advisor Promotes “His Family Members” Invested;
  • Unexpected Contact by Phone or Email; and
  • Pressure Sales Tactics.

In many instances, investment and securities fraud is perpetrated by individuals who are not currently licensed and/or in good standing with federal and state regulators who oversee the sale of investment and insurance products.  Types of investment and securities fraud scams include:

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Silver Law Group represents investors in securities and investment fraud cases on a contingency basis. Declining stock markets typically expose many fraudulent investment schemes as investors demand the withdrawal of their funds. Our lawyers are dedicated to representing investors in arbitration, state and federal court. We have handled claims against every major financial institution and Wall Street firm that might have been involved in any way with investment and securities fraud including, UBS, Morgan Stanley, Merrill Lynch/Bank of America, and Wells Fargo. Our clients include large institutional investors and many small investors.

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