Boca Raton Securities Fraud Lawyer

Investors will often employ an experienced financial analyst to oversee and manage their investments. If you feel your brokerage account has been mishandled, resulting in a financial loss, you may wish to learn more about filing a securities fraud lawsuit.

At Dickenson, Murphy, Rex & Sloan, P.A. in Boca Raton, a securities fraud lawyer with nearly 20 years of experience and an extensive financial background will advise you on your right to sue for damages for stockbroker fraud or negligence. After a comprehensive review of your case, we will advise you on taking the next step. If we determine that your broker or brokerage firm acted illegally or irresponsibly, we will vigorously make your case in securities arbitration or litigation.

Securities fraud can be committed by:

Broker-dealers/ Brokerage Firms
Financial advisors/ Stockbrokers
Corporations
Private investors

Most investors are harmed by their financial advisor (or stockbroker). Stockbrokers can cause damage to their clients by:

Misrepresenting investors
Misappropriating assets
Over-concentrating investor portfolios
Trading excessively (churning)
Making unsuitable investments
Performing unauthorized transactions
Botching transfers
Selling unregistered securities
Improper margin liquidations
Broker bribery
Fraudulent research
Boiler room sales practices
Falsifying account statements

Stockbrokers must conduct themselves in accordance with the New York Stock Exchange’s (NYSE) Know Your Customer rule, which states that a broker is obliged to gather essential information about each client before making investment recommendations. If a broker recommends a securities transaction that is inconsistent with the client’s financial goals, he or she has violated the NYSE rule and may be held liable for securities fraud.

Righting Wrongs for Defrauded Investors

Have you lost money due to the mishandling of your brokerage account? If you have been wronged by your broker, we can help. Contact Dickenson, Murphy, Rex & Sloan, P.A. in Boca Raton, Florida for a free initial consultation to discuss your case. Our firm handles securities cases nationally and internationally. In addition to handling cases in over 30 states, we have also handled cases against U.S. broker-dealers offices located in Venezuela, Chile, Colombia, the United Kingdom and the Channel Islands. Please call 561.391.1900 to learn more.

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We serve clients on a national level. Locally, our Securities Practice Group caters to clients throughout Palm Beach and Broward counties, including Boca Raton, Boynton, Cape Coral, Delray Beach, Fort Lauderdale, Gainesville, Hialeah, Jacksonville, Jupiter, Lakeland, Miami, Orlando, Pembroke Pines, Pompano Beach, Port St. Lucie, St. Petersburg, Sunrise, Tallahassee, Tampa, Wellington and Weston.