" In matters of truth and justice, there is no difference between large and small problems, for issues concerning the treatment of people are all the same." - Albert Einstein

Securities Fraud

Securities fraud is an unlawful act(s) of certain brokers or advisors in the stock and/or commodity market that tempt the naive investors into investments or trading that lead to heavy losses and wealth destruction.

Securities fraud includes but is not limited to

  • Unauthorized trading
  • Misrepresentation or hiding of facts
  • False promises on higher returns on investment
  • Non-disclosure of risks and other market factors
  • Manipulation of financial markets

Securities fraud is a serious crime and most of the countries have local laws that protect the interest of the investors. For instance, in the USA the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) are the regulators who safeguard the investors against securities fraud in the United States of America. Most of the states have also passed the “blue sky” law that regulates the equities market and protects the public from fraud.

Financial Industry Regulatory Authority (FINRA) is an independent body without Government interference that regulates the securities market in the United States of America. FINRA’s main objective is to safeguard the interest of the investors and ensure the brokers/advisors to fall in line within the prescribed framework of the law.

The arbitration procedures might be intimidating to the general public. We have an experienced team and can take care of the arbitrations with facts and to well represent the victims of securities fraud in a court of arbitration with the Financial Industry Regulatory Authority (FINRA).