Stocks and Bond Fraud

Stocks and bonds fraud can be perpetrated at numerous levels within the financial and corporate sphere.  In definition, stocks and bonds fraud is an action taken by an individual or entity with the intent to manipulate the market or investors through distortion of information or through deliberate omission.  The main body of authority regulating stock and bond fraud claims is the SEC, which has a litany of regulatory laws in place to protect investors, as well as investigate claims. 

Typically, the entities that perpetrate stock and bond fraud are either corporations or investment professionals.  In the sense of corporate stock fraud, corporations will misrepresent or conceal information from the public, who are their investors. 

Claims and Types of Fraud

Common claims include accounting fraud, insider trading, failure to disclose, wire fraud, and a litany of other corporate crimes committed during the upkeep of a deceptive position.  The other perpetrators of stock and bond fraud are investment professionals, such as brokers, brokerage firms, and even, financial advisors accepting pay for service, who deceive customers, breach fiduciary duty, or otherwise commit fraud during their interactions with individual investment customers.  Typically, claims against brokers are filed with and administered by the FINRA through arbitration for cases in excess of $50,000.

Legal Help

If you have suffered financial losses due to stocks and bonds fraud by corporations or investment professionals, you have legal options to recover your losses and other damages with the help of a securities fraud attorney.