Violations of Securities Laws

Securities Laws Prohibit Bad Practices

Both your broker and the firm with which the broker is registered are governed by laws intended to protect you, the investor. These laws restrict what they sell, how they sell it, and to whom. If you have suffered significant losses based on a broker and brokerage firm’s misconduct, they likely have violated multiple securities laws in the course of their misdeeds.

Many Rules, Grounds for Claims

Investors must be able to trust their brokers, because brokers have significant responsibilities in managing their clients’ assets. Brokers and brokerage firms must comply with the guidelines of the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) and must comply with federal and state laws. Because extensive regulations, rules, and laws are applicable to any given broker-client relationship, investors cannot not realistically be expected to have a working knowledge of all aspects of their brokers’ legal responsibilities. Investors, however, can spot red flags and obtain professional legal help when they become suspicious of their brokers’ activities. Professional legal counsel is needed to discern all of the legal and regulatory violations that brokers may have committed. To gain a better understanding of the potential red flags, see the following descriptions of some of the most frequent types of violations, and contact us immediately if you believe any of these apply to you. You may have grounds for a claim to recover losses, and we are here to help.

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