Information on Securities Litigation

When you invest in securities, you assume a certain amount of risk regarding your investment capital—a risk that is supposed to be mitigated by working with a broker. However, when your broker acts negligently, or they choose to betray your trust, it could cause extensive damage to your financial security. This is especially harmful if your mishandled portfolio contained securities that were meant for your retirement. 

Securities fraud is different from simply losing on a trade because it involves a certain degree of third-party negligence that caused your financial loss. Your broker is mandated by federal law to treat your investment with the utmost precision, and when they behave dishonestly, they should be held accountable. If you are the victim of securities fraud, Morgan & Morgan can help you enforce your rights and fight for the compensation you deserve. 

Contact Morgan & Morgan today to get started.

What is Securities Fraud?

Securities fraud applies when a financial entity attempts to manipulate the market through misinformation. This can include brokers providing inaccurate information, private investors acting based on insider information, corporations withholding significant information, and any financial institution offering negligent advice. While they may seem inconsequential, these crimes can have major financial repercussions for innocent investors like yourself.

The following are a few common types of securities fraud:

Conflict of Interest: If the entity responsible for managing your investment is also involved in stock analysis activities, they have the opportunity to influence their stock through their analysis services. This manipulates the market and negatively impacts investors like you.

Trading without permission: Your consent is needed to authorize any investment transaction 

You are required to authorize any transaction regarding your investment. If your broker acts without your permission, they’re committing a crime.

Churning: Stockbrokers who work off commission may trade excessively to increase the size of their paycheck. While this is beneficial for them, untimely trades and supplemented brokerage fees can hurt you financially.

Insider information: An individual with insider company knowledge can’t trade securities based on that information.

Malpractice: If the inadequate service provided by a financial professional has caused you harm, you’re eligible to recover your damages and pursue punitive compensation.

How Do I Know if I’m a Victim?

In many cases, the early warning signs of securities fraud are evident in the behavior of the financial entity responsible for your investment. Any shady actions—such as your broker not returning your phone calls or telling you to view market news as entertainment—should alert you that there’s something amiss. It’s also a good idea to closely monitor the financial statements you receive, as they can contain evidence of trading without permission.

If you are a victim of securities fraud, it’s recommended to immediately retain a trusted attorney to assist in recovering the damage you’ve sustained. Many large financial institutions have proficient legal teams that deter their victims from fighting back. Fortunately for you, Morgan & Morgan has the resources to hold them accountable and never settle for less than you deserve.

Getting Started with Morgan & Morgan

Your financial investment is an investment in your future. You’ve worked hard to get yourself where you are today, and it’s unacceptable to have your financial security destroyed by a negligent financial institution. Our securities litigation attorneys have years of experience with cases just like yours and will fight relentlessly for the compensation you deserve.

Contact us today and see why there’s only one Morgan & Morgan.

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