Securities Fraud, Misrepresentation & Churning Attorney Phoenix

There are many different ways a stockbroker or investment adviser can commit securities fraud, from recommending an unsuitable investment to misrepresenting an investment, to stealing from a client. Our Phoenix securities fraud attorneys prosecute and defend claims arising out of alleged violations of federal and state securities laws.

Securities fraud cases can include:

  • Churning: Excessive trading to generate fees and commissions
  • Failure to diversify: The market consists of many investment areas, and if your stockbroker fails to advise you to diversify, you could end up paying the price if your investment performs poorly.
  • Misrepresentations and omissions: If a stockbroker is going to sell an investment, he or she must disclose everything about it. If your stockbroker doesn’t tell you the truth or leaves things out, he or she could be committing securities fraud.
  • Selling away: Your stockbroker cannot sell investments that are not approved by the brokerage firm.
  • Unauthorized trading: Unless you have given your stockbroker written permission to trade for you, he or she must get your permission for each trade before making it.
  • Unsuitable investments: Your stockbroker is required to recommend suitable investments based on your age, risk tolerance and other factors

 

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Our attorneys protect the rights of all types of clients in a wide variety of litigated matters.

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We are strongly experienced in representing both sides in many different types of disputes.

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Contact a Skilled Phoenix Securities Litigation and Arbitration Attorney

For more information or to schedule a consultation, call 602-812-7979 or contact our Arizona law firm online.

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BASKIN RICHARDS, PLC

2901 N. Central Ave, #1150

Phoenix, AZ 85012

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