Practice Areas

• Unsuitable Investments
• Investment Fraud
• Stockbroker Breach of Duty
• Unauthorized Investments

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Investment Fraud

• Morgan Keegan Sale to Raymond James?

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Investment Loss Claims

• Provident Royalties: Bad Real Estate Investment Destruction Lingers
• Investment Losses - Arbitration is the Norm
• Hedge Fund Housing Investments, Now?
• Alternative Investments: Pepare for Increase in Unsuitable Investment Cases?

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General

• Selling Away: Recovery from Broker Company Possible

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News

• Hedge funds gaming the system? Effect on Investor losses?
  Posted on 1/2/2012

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Securities Arbitration: Recover Investment Losses through Securities Arbitration - Nationwide Help

Investment brokers provide a valuable service to help people make wise decisions with their money. Perhaps, however, you put your trust in the wrong broker and now you have lost your savings. You probably feel confused, angry, or frustrated.  You have lost money and investments you worked hard to build. Perhaps you are left with an empty future and nothing left to fall back on for your children's education, your home, your retirement, or your life expenses.

INVESTMENT LOSSES ARE NOT ALWAYS DUE TO MARKET CONDITIONS.

 

You might have options to recover investment losses from your broker.

If you have been a victim of securities or investment fraud, you need to seek help immediately. The quicker you act, the better your chances may be of making a recovery. Contact The Law Offices of Thomas Waitt Pleasant, PLLC at 1-888-435-7156 for a free consultation about your securities and investment misconduct problems. 

Helping You Recover from Faulty Investments
The Law Offices of Thomas Waitt Pleasant, PLLC can help you with a FINRA securities or investment arbitration anywhere in the United States. If you have suffered losses from the following investment products, then we may be able to help you recover your money:

• Variable Annuities
• High Yield Bond Funds
• Exchange Traded Funds (ETFs)
• Mortgage Backed Securities
• UBS/Lehman Brothers Principal Protected Notes
• Citigroup/Smith Barney ASTA/MAT Five Funds
  Tenancies in Common (TICs)
• Preferred Stock
• Derivatives
• Auction Rate Securities (ARS)
• Limited Partnerships
• Private Placements
• Mutual Funds

If you have lost money on investments like these, you might be able to recover some or all of the money lost. Contact our office today for more information about your rights to recovery.

Broker Misconduct and Deceit
Brokers are sometimes overworked and cannot take time to manage your account appropriately. Sometimes even the most trustworthy and highly recommended brokers can make serious errors, causing you to lose money. Some, due to their dependence on commissions, fall into a downward spiral of lies and deception. It sometimes starts as a small, seemingly innocent way to make a little more money. Unfortunately for you, a broker might be making money at your expense. If you have fallen victim to broker fraud or suspect that your money is being mismanaged, then you need to contact a securities fraud arbitration attorney immediately:

• Breach of Fiduciary Duty- A breach of fiduciary duty may occur when a broker makes a trade based upon non-public, insider information in order to benefit personally. This deception is often at the core of insider trading.
• Unsuitability- Unsuitability occurs when a broker fails to recommend products and investments that are suitable to the investor's situation, net worth, risk tolerance, and goals.
• Selling Away- Selling away is the circumstance where the securities are not approved for sale by the firm, and not on a firm’s approved product list. Generally, problems arise because the securities have not gone through the brokerage's due diligence review and approval process.
• Asset Allocation- Asset allocation is an important piece of your portfolio, as it is an attempt to lessen your risks and balance them with rewarding investments.
• Failure to Hedge -If a broker fails to hedge your portfolio, they may leave you with large holdings in one stock and fail to properly diversify your investments.
• Negligence- Negligent brokers simply fail to properly care for your interests and watch out for your financial wellbeing.
• Unauthorized Trading- Brokers must have your authorization to make trades on your account. If they make a trade without your consent,then you need to seek legal action.
• Churning - If a broker has been given permission to control your investment decisions, you must watch out for churning. In this type of fraud, brokers conduct a large amount of activity on an account in order to generate large commissions.
• Excessive Margin- Brokerage firms offer margin accounts - essentially lines of credit - to be attached to brokerage accounts. These accounts are usually above prime rate and may require the client to use a certain percentage. If your account's margin seems excessive, it would be smart to contact an investment misconduct lawyer.

You do not necessarily have to accept investment losses.  To learn more about your options in a securities or investment misconduct arbitration case, schedule a FREE consultation to discuss your options. 

Unsuitable Investments

Investment Fraud

Stockbroker Breach of Duty

Unauthorized Investments

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The Law Offices of Thomas Waitt Pleasant, PLLC can help victims of investment and securities misconduct and fraud in arbitrations throughout the nation.

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