Particularly hard hit were closed-end funds run by UBS Asset Managers in Puerto Rico, the market leader in closed-end funds. The experienced securities fraud attorneys at Colling Gilbert Wright & Carter are investigating closed-end bond funds run by UBS, as well as Santander Securities and Popular Securities. Securities fraud is an attempt to manipulate the investment market in some illegal way and can be done by private investors, brokers, financial advisors, or corporations. Many of our clients, both individual and institutional, are referred to our FINRA attorneys and Securities law firm by their personal lawyer, accountant, or new financial advisor. If you have suffered losses or feel your brokerage account was mishandled, contact Lubiner, Schmidt & Palumbo for a free consultation. We have the expertise to protect your rights and obtain for you any compensation that may be owed to you because of stockbroker fraud.
That’s why it won’t cost you anything to speak to Robert Pearce about your claim. This means that you do not have to pay our firm any fees unless and until we win your case. For over 40 years, the Law Offices of Robert Wayne Pearce, P.A., has represented both defrauded investors and brokers or fiduciaries wrongly accused of regulatory violations. Investment fraud is a white-collar crime that involves fraudulent schemes designed by brokers that are used to gain finances from unsuspecting investors. I will be happy to refer any of my family and friends to your law firm.
What Is Investment Fraud?
Whoever handles your money or advises you on which investment opportunities to pursue should have your best interest in mind. However, brokers/advisors are usually more concerned with their bottom line than your investment portfolio and can mismanage your money. Futures Contracts – Commodities and SecuritiesCommodity futures contracts are agreements to buy or sell a specific quantity of a commodity at a specified price.
Examples of Our Securities Litigation
Under FINRA’s rules, stockbrokers are required to arbitrate disputes with their clients in most cases. If you have invested in the stock market through a broker, your brokerage agreement almost certainly includes a mandatory arbitration provision; and, if it does, this provision is binding on both you and your broker. Other inexperienced lawyers may file a case without realizing that the statute of limitations has already run out. We offer free initial consultations for securities litigation and arbitration and can give you a full analysis of your rights and options, so you know how to move forward properly.
Your relationship with your financial advisor should be ongoing, transparent, and trusting. If your advisor fails to provide you with consistent, sufficient, and accurate information, or if something just doesn’t feel right, contact a skilled investment fraud attorney today to see what options you may have. If you have suffered financial losses due to the fraudulent activities of a brokerage firm who was entrusted with your investments, don’t wait any longer. Churning in stock accounts can be established using various methods, including calculations that can help determine whether a broker’s transactions meet the definition of excessive. suffered losses in Kiromic BioPharma stock include assessing the commission-to-equity ratio and turnover rate of securities in your investment account. There are different forms of bonds within these categories, and bonds may be purchased individually or through bond funds, in which investors buy into pools of bonds in a manner similar to mutual funds.