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Are You A Victim Of Investment Fraud?

When you think about investment fraud, who do you picture as the victim? For most, it’s probably an elderly person or a member of the wealthy elite. Hardly any regular, everyday person thinks it’s possible for investment fraud to happen to them, but it can – and it does.

Valenti Hanley PLLC represents domestic and international investors who suspect that their financial advisers or another party behaved fraudulently or that they are the victim of misrepresentation. With a combined experience of over 60 years practicing law, our attorneys, Jim McCrocklin and Michael Valenti have obtained millions of dollars worth of arbitration awards and settlements on behalf of investors located throughout the country and overseas. Among the claims we handle against national, regional and local firms are:

  • Investment fraud: When a broker causes an investor to make investments based on false information or deception
  • Churning accounts and excessive trading: Trading assets solely to generate additional commission
  • Unsuitable recommendations (suitability): Being misled into making an investment that serves the broker’s interests rather than your own
  • Negligence/failure to disclose risks: When a broker withholds information from an investor, leading them to make high-risk or mismanaged investments
  • Unauthorized transactions: A broker buying or trading assets without your permission
  • Breach of fiduciary duty/fraudulent conduct: When a broker fails to uphold the ethical standards of the duty they owe to their client
  • Failure to supervise agents of broker-dealers: When an investment firm fails to properly supervise their agents, causing fraudulent activity to go unchecked

If you suspect that fraudulent activity has occurred on your account, contact an investment fraud lawyer as soon as possible to begin an investigation. We can conduct a thorough review of your statements and accounts to uncover fraudulent activity. Mr. Valenti and Mr. McCrocklin have appeared in FINRA cases throughout the country. Mr. McCrocklin is also certified in FINRA arbitration and has served as Panel Chair on FINRA arbitration panels.

What Is Investment Fraud?

Investment fraud is an umbrella term for various illegal and deceptive investment practices. The common factor in all investment fraud is financial advisers serving their own financial interests rather than those of their clients. One example of investment fraud is a Ponzi scheme.

What Is Broker Misconduct?

Similar to investment fraud, broker misconduct can mean many different things. Overall, it means that a financial adviser or broker has deviated from their duty of care for gain, resulting in financial losses for their clients.

What Are Your Rights As The Customer Of A Financial Adviser?

As the customer of a financial adviser, you are entitled to:

  • Strategies that serve your interests
  • Thorough explanations of strategies and the risks associated with them
  • Privacy and discretion surrounding your investment portfolio and its activities
  • Reasonable access to your funds
  • Clear communication regarding their fees

If your financial adviser doesn’t provide you with the things listed above, it could be cause for concern.

What Are The Signs Of Fraudulent Advisers?

Some of the red flags that your financial adviser may not be acting in your best interests include:

  • Hidden fees and commissions
  • Purchasing stocks at the wrong risk level
  • Unsuitable stock purchases for elderly or unsophisticated customers
  • Moving your money into and out of different stocks
  • Selling investments sooner than 12 months after a purchase
  • They are not registered with any regulatory body

Sometimes investors ignore the red flags. This is not wise; if you have suspicions about your adviser, contact our stock broker fraud attorney at 866-617-6209.

What Should You Do If You Suspect You Are The Victim Of Investment Fraud?

If you suspect investment fraud, speak to a securities fraud attorney immediately. Our attorneys can investigate your concerns and determine the next steps to take.

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Preserving Your Assets With Proactive Legal Representation

Raising capital in private placement transactions can be highly lucrative. However, brokers marketing private placements may not always have the best history. Often, they come with a history of investor complaints against them, regulatory actions, criminal charges or a slew of firings and disciplinary actions, or they do not use a clearinghouse. It is important that clients take a proactive approach, immediately retaining counsel if suspicious activity appears on the account. Our securities fraud lawyers’ experience in securities litigation and arbitration gives us the ability to spot inconsistencies and fraudulent activity, immediately taking action to protect your interests.

Advocating For Elderly Victims Of Fraud

Retirees or elderly people are often targeted by outright scam artists who peddle all manner of sketchy financial products. Unethical financial advisers also target the elderly, investing their clients’ money in speculative stocks, or companies that do not pay dividends or take other excessive risks with their money. Whether you are a senior citizen who believes that an unscrupulous person has taken advantage of you or you are the relative of a senior who is the victim of a scam, we can help you hold the perpetrator accountable for their actions.

Not All Investment Fraud Lawyers Are Created Equally

If you have suffered losses from investment fraud, you’re probably leery of the cost of hiring a lawyer. If you work with us, you don’t need to worry. We offer flexible fee arrangements and can work with you to ensure you can afford our services.

In their more than 60 years of experience, our attorneys have grown to understand all sides of investment fraud. Our clients choose us because they value our well-rounded knowledge of securities law.

In our eyes, no case is too big or small for us to take on. Because we’re a small firm, we can devote individualized attention to each client. You’ll speak with our attorneys directly. Your case will never be ignored or glossed over like they do at big law firms. We’ll fight to get you the justice and compensation you deserve.

Contact Our Firm For Trusted Investor Advocacy

At Valenti Hanley PLLC, our investment fraud attorneys maintain a comprehensive securities law practice and provide reliable investor legal representation. If you have reason to believe your financial adviser has steered you wrong, call our lawyers right away at toll-free 866-617-6209. You may also reach us online by completing our form.