Investment Adviser Misconduct

Investment advisers have a great deal of discretion and control over customer’s money. With this discretion comes a high level of responsibility, called a fiduciary duty, which is owed to the customer.

Investment advisers are typically compensated based on a percentage of the assets under management, rather than on transactions. As a result, the interests of the investment adviser and the customer are supposed to be aligned. Those interests are not aligned, however, when the investment adviser:

  • Picks the wrong investment
  • Misrepresents the risks of an investment
  • Charges excessive markups and advisory fees
  • Funnels a customer’s money to hedge funds or other investments set up by the investment adviser to serve the adviser’s interests rather than the customer’s
  • Does not disclose conflicts or the details of the relationship between the investment adviser and the investment being offered
  • Places numerous customers in the same investment, regardless of their differing financial circumstances
  • Runs Ponzi schemes

Our attorneys represent both customers and investment advisers in claims arising out of alleged investment adviser fraud and misconduct in Phoenix.


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