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In 2017, The U.S. Securities & Exchange Commission (SEC) reported 230 securities and investment fraud offenses. In 2017, the median value of financial of financial advisor fraud topped $484 million.
• 𝐒𝐞𝐜𝐮𝐫𝐢𝐭𝐢𝐞𝐬 𝐅𝐫𝐚𝐮𝐝 𝐢𝐧 𝐭𝐡𝐞 𝐔.𝐒.
◦ 85% of offenders are people with no criminal history
◦ $484 million in assets will be owned by those over age 65
𝐄𝐱𝐚𝐦𝐩𝐥𝐞𝐬 𝐨𝐟 𝐈𝐧𝐯𝐞𝐬𝐭𝐦𝐞𝐧𝐭 𝐁𝐫𝐨𝐤𝐞𝐫 & 𝐅𝐢𝐧𝐚𝐧𝐜𝐢𝐚𝐥 𝐀𝐝𝐯𝐢𝐬𝐨𝐫 𝐅𝐫𝐚𝐮𝐝
• Financial Advisor Fails to disclose the risk of an investment strategy
• Financial Advisor Fails to disclose the cost of a transaction at the time of the recommendation
• Financial Advisor Fails to discuss the pros and cons of buying or selling an investment or pursuing a strategy
• Financial Advisor Fails to disclose financial interests their employing brokerage firm has in the investment being recommended
• Financial Advisor Fails to put your interests in front of their own
• Financial Advisor Fails to disclose all material facts prior to recommending a transaction
𝐖𝐡𝐚𝐭 𝐚𝐫𝐞 𝐭𝐡𝐞 𝐒𝐢𝐠𝐧𝐬 𝐨𝐟 𝐁𝐫𝐨𝐤𝐞𝐫 𝐍𝐞𝐠𝐥𝐢𝐠𝐞𝐧𝐜𝐞 𝐚𝐧𝐝/𝐨𝐫 𝐅𝐫𝐚𝐮𝐝?
• In reviewing your investment accounts, the following activities may be evidence of fraud or misconduct by your Financial Advisor:
◦ Your investment account experiences a sudden or substantial loss
◦ You notice unusual or unexplained withdrawals from your investment account
◦ Your broker puts pressure on you to make a transaction
◦ Your broker recommends an excessive number of trades in your investment account
◦ You notice unauthorized transactions in your investment account
◦ Your Financial Advisor makes misleading statements or fails
to disclose materials facts at the time he/she makes an
investment recommendation
◦ Your brokerage firm or Financial Advisor fails to fully disclose
actual or potential conflicts of interest
Investment misconduct and fraud is complex. Speaking with an experienced attorney, who is qualified to analyze your situation is imperative. The Wolper Law firm is a client focused law firm devoted to recovering investment losses on behalf of aggrieved investors. The Wolper Law firm offers free consultations and case evaluations.
Call today to speak with a securities and investment fraud lawyer at Wolper Law Firm
Wolper Law Firm, P.A.
1250 S Pine Island Rd Suite 325
Plantation, FL 33324
(954) 406-1231
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