Securities Fraud Attorney
Recover Your Financial Losses Through Securities Arbitration
When stock market losses are caused by corporate misconduct, misrepresentation, omissions, unauthorized trading or any form of negligence or breach of fiduciary duty, wronged investors may be able to take action to recoup their financial losses. Most often, this is accomplished through securities arbitration under the supervision of the Financial Industry Regulatory Authority (FINRA). FINRA works together with state and federal government agencies to regulate and investigate stockbrokers and brokerage firms and crack down on all forms of securities and investment fraud. Though FINRA arbitration, or in rare cases, courtroom litigation, wronged investors may seek to recover the financial losses they have experienced through the negligent or wrongful conduct of their financial advisors. Napoli Bern Ripka Shkolnik, LLP is here to help investors accomplish this.
Our firm has handled hundreds of securities litigation and arbitration cases, recovering millions of dollars in settlements and awards for our clients. We have been investigating the corrupt practices of brokerage and investment firms for a long time and have been able to help thousands of clients recover losses that came as a result of this type of fraud. State Street Corporation, Citigroup, Fannie Mae and Freddie Mac and
David Lerner are just a few of the large companies we have stood up against in the name of justice. We have assisted clients in recovering compensation for losses affecting
asset backed securities and more.
Stockbrokers have an obligation to their customers to provide sound recommendations based upon each customer's particular short and long-term financial goals, investment objectives, risk tolerance, net worth and even personal preferences. A broker's failure to uphold this duty may cost an investor thousands, hundreds of thousands or even millions of dollars. Our team is here to help investors who have been affected by unsuitable recommendations and trades as well as unauthorized trades, overconcentration, churning (excessive buying and selling to generate commissions) and all FINRA rule violations and violations of the Securities Exchange Act of 1934. Our understanding of securities fraud and familiarity with FINRA arbitration hearings can make a significant difference in an investor's ability to seek and recover money lost to fraudulent or negligent conduct.
Current Investigations and FINRA Arbitration Claims
As new instances of possible investment fraud come to our attention, through FINRA investigations and disciplinary actions, investor reports, SEC investigations and charges or our own investigations, our attorneys stand ready to seek justice on behalf of wronged investors. Some of the current cases we are looking into include:
- The UBS Willow Fund loss and liquidation, including potential misrepresentations, omissions and supervisory failures on the part of UBS and Willow Fund manager Sam S. Kim.
- The sale of Success Trade, Inc. promissory notes by Success Trade Securities and Fuad Ahmed, the firm's president and CEO.
- Private placements sold by David Mickelson and whether NFP Securities, the firm he was associated with at the time, may have committed supervisory failures.
- Email supervisory failures alleged by FINRA to involve four ING subsidiaries: Directed Services, LLC; ING Investment Advisors, LLC; America Equities, Inc.; ING Financial Advisers, LLC; and ING Financial Partners, Inc.
- FINRA disciplinary actions involving James R. Glover, Ronald E. Cleveland, David Appel, Centara Capital, Allied Beacon Partners, and others.
Speak with an investment fraud lawyer.
The Securities Arbitration Department at Napoli Bern Ripka Shkolnik, LLP investigates hundreds of securities fraud claims every year. Our practice focuses on securities litigation and arbitration, whistleblower complaints, consumer fraud and employment-related securities matters. Our substantial experience in the securities area is crucial in assisting our clients to navigate the industry's numerous regulatory entities and laws to secure the best possible results.
We have an entire website dedicated to securities and investment fraud. For additional information and insight that can help you make an educated decision about moving forward with a claim, click here to visit our Investment Fraud website or contact our offices today.