The most common claims defended are:
- Unsuitable investment recommendations
- Unauthorized trading
- Misrepresentations or omissions
- Churning
- Inadequate due diligence
- Failure to supervise
These, and other alleged sales practice violations, frequently give rise to claims asserting violations of the federal securities laws (Securities Act of 1933, Securities Exchange Act of 1934 and the Investment Advisers Act of 1940), state securities laws (Uniform Securities Act), state elder abuse laws, as well as the common law doctrines of fraud, negligence, breach of fiduciary duty and breach of contract.
Experience is a great teacher. Our work has spanned the spectrum of investment products, including:
- Stocks (blue chip, preferred, penny) and stock indices
- Bonds (municipal, corporate)
- Mutual Funds (all types, all classes)
- Annuities (variable, fixed, deferred)
- Life Insurance (life, universal, term)
- Viaticals and Life Settlements
- Promissory Notes
- Limited Partnerships (real estate, oil and gas, aircraft leasing, equipment leasing, cable, horse breeding, hotels, movies)
- Exchange Traded Funds
- Options
- Futures
- Real Estate, Real Estate Investment Trusts and Tenant-In-Common Investments
- Mortgage-Backed Securities
- Treasuries
- Money Market Funds
- Certificates of Deposit
- Margin (strategies and sell outs)
- Trade Disputes
- Dividend Recapture
- Best Execution
- Redemption Fees
- Arbitrage Strategies
And industry sectors, including:
- Telecommunications
- Technology
- Financials
- Health Care
- Consumer Goods and Services
- Utilities
- Industrials
- Oil and Gas
- Basic Materials
We also defend matters involving allegations of various investment schemes and scams, including:
- Selling Away
- Ponzi Schemes
- Guaranteed Return Promise
- High Yield Return Scams
- Risk Free Investing
- The Targeting of the Elderly
- Pump and Dump Programs
