Securities Broker Fraud

Many people choose to invest their assets with the assistance of a securities broker, a broker-dealer, and/or an investment or financial advisor. Unfortunately, some brokers act in a manner that is not only illegal, but also puts your investments at risk. As a result, some investors become the victims of securities broker fraud. A securities broker may commit fraud in a number of ways, usually with the goal of personal financial gain. For instance, a securities broker may engage in fraud by excessively trading securities in order to boost commissions, failing to diversify assets by placing them all in one particular type of investment, making unauthorized trades, or misrepresenting material facts about the investments. In order to prove securities broker fraud, an investor must show that the broker intentionally misrepresented or omitted facts in order to deceive or otherwise injure the investor. As securities are governed by both state and federal law, a securities broker fraud lawsuit can be filed in either state or federal court.

Fast Facts

  • From 2004 - 2007, the U.S. ordered the sum of $1.8 billion to be returned to investors as a result of securities violations.

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