Rate Securities Fraud

While the rate of securities fraud in the United States remains somewhat unclear, due in large part to unreported instances of fraud, recent high-profile securities fraud cases have made the public more aware than ever of potential pitfalls in their investments. There are many types of securities fraud claims that you might assert against a broker or investment advisor. One such common claim is breach of fiduciary duty. Under the common law, as opposed to any particular statute, brokers owe a duty of trust, honesty, and loyalty to their investment customers. If a broker violates that fiduciary duty to the investor, he or she may have a securities law claim against the broker for breach of fiduciary duty. Likewise, some securities fraud claims are based on conflicts of interest. When a large securities firm provides both investment services and stock brokerage, securities analysts may have conflicts between the securities sales side of the business and the investment services side of the business. Investor losses that result from this inherent conflict may therefore give raise to a securities fraud claim based on conflict of interest.

Fast Facts

  • The National Conference of Commissioners on Uniform State Laws updated the Uniform Securities Act of 1996 by passing the Uniform Securities Act of 2002.

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