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Securities Questions & Advice
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Securities Questions & Advice Topics
Broker Misconduct
- If my financial advisor strongly advised me to buy a certain stock, would they be liable for any losses to that stock?
- I’m worried because my broker is buying and selling stocks for me on a very frequent basis. Is this churning?
- My stock broker invested my money in extremely risky CD investments. Is this stock broker negligence?
- My stock broker is lagging on delivering my monthly statements. I think he made poor investments. Can I get legal help?
- My stock broker made trades on my account without getting my approval first. Is this considered unauthorized trading?
- What does “unsuitability” mean in the context of broker misconduct?
Brokerage Fraud
- Can I be prosecuted for insider trading when a third party has “tipped” the inside information without my knowledge?
- If a broker doesn't execute a trade per the instructions of a client, is the broker liable for broker fraud?
- My stockbroker has been unresponsive for a while and moved my funds with him out of state. What do I do?
Fiduciary Responsibility
- I am a vendor who is now receiving IOU warrants from the State of CA. Are IOU warrants protected by securities laws?
- I am being solicited and harassed to invest in a multi level marketing scheme which seems like an investment scam. What do I do?
- If I lost money on a stock recommended by my financial advisor, can I take any legal action?
- I’m thinking about signing an important document. How can I tell if a promissory note is legal?
- What steps does a municipal securities dealer have to take in order to be registered?
Securities Fraud
- How can a private plaintiff prove securities fraud?
- I lost the majority of my retirements savings from being influenced by a Stock Broker to invest in a bad stock. Can I get help?
- Our company has been charged with a securities violation and will be in litigation. Can a securities litigation attorney help?
- What are some of the types of securities fraud that a securities fraud lawyer handles, and how do I find one?
- What is Blue Sky Law in Securities Fraud?
- What is an internet “pump and dump” securities fraud scheme?
This site does not provide legal advice and users of this site should not interpret any of the information presented here as legal advice. The information provided merely conveys general information related to commonly asked legal questions. We are not a law firm and the employees responding to questions are not acting as your legal attorney. You should ultimately consult with a Lawyer for your case.