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.