Stock Broker Fraud Lawyers

Millions of dollars in stocks are traded in the stock market on a daily basis. Stock brokers are trusted to handle the transactions on your behalf and follow the rules and regulations of the Securities and Exchange Commission (SEC) to ensure fair trade and brokering. Sometimes, though, brokers breach fiduciary responsibility and manipulate the market, or a particular stock, in a way that results in illegal profiteering from the stocks that you own.

Have you or someone you know become a victim of stock broker fraud? If so, contact one of our experienced stock broker fraud lawyers in your area today!

Stockbroker fraud is the illegal manipulation of a stock for personal or company profit. Only licensed stock brokers are permitted to handle stocks in the authorized manner explicitly administered by the SEC. When brokers subvert the rules and guidelines set by the SEC, then stock fraud or conspiracy to commit stock fraud is carried out.

The Securities Act of 1933 , often referred to as the "truth in securities" law, was issued to administer and regulate securities (stocks, bonds, mutual funds, etc.). The Securities Act of 1933 has two basic objectives:

• Require that investors receive financial and other significant information concerning securities being offered for public sale
• Prohibit deceit, misrepresentations, and other fraud in the sale of securities

There are many different way that Stock Fraud can be committed, including:

• Providing False Information
• Stock Manipulation
• Lying to Auditors
• Insider Stock Trading
• Unauthorized Trading
• Breach of Fiduciary Duty
• Broker Embezzlement

Have you or someone you know become a victim of stock broker fraud? If so, contact one of our experienced stock broker fraud lawyers in your area today!

Updated: LW

Content Related to Topic

• Mercury Agrees To Pay $28 Million Civil Penalty
  The SEC alleges that the former senior officers perpetrated a fraudulent and deceptive scheme from 1997 to 2005
  
  
• Stockbroker Pleads Guilty to Stock Fraud Conspiracy
  A stockbroker pleaded guilty today to his role in a scheme to manipulate the stock market and defraud investors
  
  
• SEC Files Action To Stop Ongoing Microcap Stock Fraud
  To deceive investors into buying these stocks, the defendants have preyed on public fears about terrorism and international health epidemics
  
  
• Former Executives Of Comverse Charged With Creating A Secret Stock Options Slush Fund
  the defendants reaped millions of dollars in profits as a result of their scheme and issued false and misleading financial statements to the company's shareholders and th
  
  
• US Securities Bureau Concern For Lagging Stocks
  The Enforcement Unit has received many calls concerning Wedgewood Acquisitions, allegedly based in Austria and the US Registration Bureau a fictitious government agency
  
  
• Settlements From Allegations Recommended Stocks Due To Influence From Their Investment Banking
  The settlements result from allegations of conflicts of interest at brokerage firms where analysts recommended stocks due to influence from their investment banking colle
  
  
• Znetix Stock Fraud, The Largest Stock Fraud Ever
  The indictment stems from the multi-state investigation of financial transactions related to the Znetix stock fraud, the largest stock fraud ever in the State of Washingt
  
  
• Southwest Securities to Pay $10 Million to Settle SEC and NYSE Supervision Charges, Relating to Stock Fraud and Late Trading by Southwest Registered Representatives
  The Securities and Exchange Commission and the New York Stock Exchange today announced the institution and settlement of enforcement proceedings against Southwest Securit
  
  
• Naples, Florida Man Sentenced In Znetix Stock Fraud Scam
  Description Of a Florida Man Cought For Online Stock Fraud Scam
  
  

Have you or someone you know become a victim of stock broker fraud? If so, contact one of our experienced stock broker fraud lawyers in your area today!