Securities & Investment Fraud

    • Unsuitable investments recommended to the customer in light of the their age, net worth, investment experience and financial objectives
    • Churning the account to generate commissions
    • Unauthorized trading in the account
    • Failure to update the customer's investment objectives
    • Mismanagement of a trust fund
    • Breach of fiduciary duty by the financial representative
    • Failure to supervise a rogue broker.