Securities Fraud
Securities fraud occurs in many different scenarios. From simple misrepresentation to Ponzi schemes, our lawyers are prepared to investigate your claims and seek to recover your damages against the appropriate parties. Our lawyers have handled many types of investments scams and are experienced in helping investors recover their money against the wrongdoers.
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Wrongful Termination Attorneys Miami, Florida
Our law firm represents brokers and other professionals in the financial services industry who have been wrongfully terminated from their position. We are prepared to work diligently to investigate your claims and make a strong case on your behalf.
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U-5 Statement Lawyers Miami, Florida
A negative statement from a former employer on a Form U-5 Termination Notice can make it difficult, if not impossible, for a person to get a job in the financial services industry. If defamatory or untrue statements have been made on your Form U-5, our law firm is ready to assist you. in bringing an arbitration action to expunge your record and give you a fresh start.
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Broker Dealer Promissory Note and Employment Separation Attorneys
If you are in the process of a termination or separation from your employment with a brokerage firm, it is important to know your rights. Our attorneys can assist you in negotiating your departure and ensuring that your U-5 Termination Notice is accurate and non-defamatory.
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Stockbroker Negligence
A broker may not intend to harm a client, but can nevertheless act in a negligent way causing investment losses. Stockbrokers and brokerage firms have a number of duties to investors. When they fail in these duties and investors suffer financial harm, our law firm will hold these professionals accountable.
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Unsuitable Investment
Brokers must ensure that they know their clients and make suitable investments. Investments must be made with the clients’ investment objectives in mind, including their age, experience level, risk tolerance and the purpose or time horizon for use of the funds.
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Overconcentration
When brokers fail to diversify an investor’s portfolio, it can place an investor’s portfolio needlessly at risk. A broker should not place an investor’s account, or most of their account, into just one investment or a number of investments in one industry.
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