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What Are The Common Signs Of Investment Fraud, Negligence Or Other Misconduct?

Investment related misconduct comes in many forms.  It can be out in the open and flagrant but most often it is concealed and subtle.  The hallmark signs of investment misconduct are:

  • Sudden, precipitous drops in the value of your portfolio, particularly when not in tandem with the overall financial markets
  • Your financial advisor is recommending that you pursue an investment strategy that carries a higher degree of risk with which you are comfortable
  • Portfolio concentration in a single security, sector of the market or asset class
  • Your financial advisor is evasive and non-responsive
  • Your financial advisor describes a trade or strategy as risk-free or guaranteed
  • Transactions are made without your authorization or with insufficient justification
  • A high number of transactions are recommended by a financial advisor

To minimize the likelihood that you will be a victim, there are several procedures than investors can and should implement, including the following:

  • Regularly review your account statements. There is a wealth of information that will allow you to:
    • Confirm that you have authorized the purchase and/or sale of the investments in your account;
    • Confirm deposits/withdrawals;
    • Evaluate the performance of your investments
  • Have quarterly meetings with your financial advisor to discuss your accounts and the strategy going forward.
  • Pay attention to the news. If there is political or economic acrimony, there is a higher likelihood that the financial markets will respond negatively.  These changes could impact the value of your portfolio.
  • Don’t accept short, non-responsive answers from your financial advisor. If you have question about your investments, you are entitled to an answer.
  • Ask your financial advisor for the fees and commissions that are being charged in the account. This includes fees associated with new issue securities, such as IPOs.
  • Brokerage firms periodically send correspondence to customers, advising them of the risk profile of their investments. If you are told that an investment you own carries more risk than you are comfortable with, have a discussion with your financial advisor or his/her branch manager.

If You Have Concerns Regarding Your Brokerage Firm Or Financial Advisor, Contact The Wolper Law Firm For A Free, Confidential Consultation

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration.  Matt Wolper is an experienced trial lawyer who has handled hundreds of securities matters involving complex investment strategies and products.  He has tried large scale, multi-million dollar securities matters and has a proven track record of success.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  His industry insight, experience and knowledge gives his clients a competitive advantage.  For a free consultation and case assessment, contact the Wolper Law Firm at 800.931.8452 or by email at mwolper@67.43.6.64.

Now is the time to talk to an investment loss recovery lawyer. We can help recover your investment loss. Free consultations, always.

Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

Additional Office Locations (by appointment only)

Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Irvine

2600 Michelson Drive
Suite 1700
Irvine, CA 92612

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis