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For Your Information: Securities

We hope that you find the information contained in these articles useful. If can assist you in a potential securities case, please contact us for a complimentary consultation.

Securities Litigation: A Primer on the Customer’s Rights

Many clients think their brokers or investment advisors are responsible for the bad performance of their portfolios. You may have the same complaint. Is there a cause of action? What is the forum and what is the substance of the case? It is not enough that markets are down. Formulating a cause of action requires a knowledge of the securities industry and the broker’s relationship with the customer. Read more >>

Churning: An Insidious and Vicious Fraud

Churning is one of the most common frauds committed by errant securities firms and the occasional wayward broker they may employ. It consists of a broker exercising control over a customer’s account, and excessively trading in the account without regard to the customer’s needs and investment objectives. Read more >>